inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer possesses such prohibited characteristics; (2) in
final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of
] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer
employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering securities trading service for such account
trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering
characteristics shall be in effect from the date indicated in the SEC Office’s letter notifying the person under consideration and the securities company or the derivatives business operator by which such person is
-Translation- Ref. No. PorBor. 001 / 2020 January 6, 2020 Subject: Notifying the resolution of the Board of Directors’ Meeting and Schedule of Entering into Transaction of Disposing of Subsidiary’s
) notifying the other securities companies in writing prior to rendering securities trading service for such account that the client or a person who applied for operating a securities trading account or the
export sector, especially the agricultural sector. 3. WATER SITUATION As of 31 January 2020, the water supply situation in Chonburi and Rayong were in water shortage warning level. Water supply in the
following actions; (1) Warning; (2) Probation; (3) Suspension from duty performance as a mutual fund manager for a period of time the Office deems appropriate; (4) Revocation of approval. Clause 12. If any