documentation. 4 Clause 7 In order to perform trust business, an approved person shall: (1) commence trust business only after the SEC Office examined that the applicant has already prepared operating system and
Rules on Connected Transactions item no.12 (3) there is a content “ In case of a listed company or a subsidiary company and related persons give financial assistance to juristic person which a listed
in such a way that the receiver of the benefits from such trading is the same person. These offenses were in violation of Sections 243 and 244 of the Securities and Exchange Act of 1992 (SEA) in
in his capacity as the responsible person for the operation of Zipmex, which included ordering or acting and omitting to order or failing to act in any way that caused Zipmex to commit offenses in
Notified Date Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 18/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory
Date Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 18/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox
Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 19/2563 Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided