perform his or her duties in accordance with this notification. The securities company shall inform its client about the appointment of an agent to the client’s assets without delay. In the case where the
person who is appointed to be director or manager and the securities company by its authorized director, or in case of authorization by the securities company, the certified signatory shall at least be the
departmental director, a branch manager and shall also mean a person holding any equivalent position called otherwise who is in charge of the following business functions, as the case may be: (a) Business
period of five years prior to submitting the application; (b) the person shall be knowledgeable and have capability in performing a reliable valuation of infrastructure assets ; 2 (2) in the case that the
Thailand; (2) In case of transactions falling into Class 4 Transactions in Part 4 of Section 3 of the Notification of the Board of Governors of the Stock Exchange of Thailand, the Office shall have power to
without any investment limit in order to create equal competition between securities companies and asset management companies. In the case where such Funds invest in crypto assets directly or indirectly via
According to case referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during 23 August and 2 November 2018, the 12 offenders, namely (1
, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in
voting method for director selection. This case is in the judicial consideration process. In addition, on 14 November 2017 the SET announced that IFEC might be liable to delisting because IFEC failed to
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual