Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
the connected transaction within the last six months as follows: - Board of Director’s meeting No. 9/2016 held on 24th November, 2016, approved the transaction with AEON Financial Service Co., Ltd. for
duties honestly in violation of Clause 23(1) and characteristics of personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
(under a Co-Management Contract pursuant to the SEC Notification : Approval of Co-Management Contract of a Securities Company No. Or Thor/Nor 9/2541), be approved. (See Attachment 1) 7. That the TRIS
______________________________________________________________________ 7) Is the NRI CIS authorised/approved by its Home Regulator? Yes No If “Yes”, is the NRI CIS authorised/approved for the offer to non-retail or retail investors in Home Jurisdiction? Non-retail
Supervisory Board No. Tor Jor. 61/2561 Re: Offer for Sale of Debt Securities of Thai Government Agencies _________________ By virtue of Section 16/6 of the Securities and Exchange Act, B.E. 2535 (1992), as
of Director as well as disclose to the Stock Exchange of Thailand. In addition, the Company approved the connected transaction within the last six months as follows: - Board of Director’s meeting No. 5