Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

arbitration process; (2)  To adjust the time period for preparation of arbitration request and evidentiary documentation before the arbitration process begins; and(3) To revise the termination period for

. Later Mr. Sutin repaid Mr.Bhusana with the money received from the share sale. Mr. Saran arranged the documentation and the payment for Mr. Sutin. This case is in the process of inquiry by the special

audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is

notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is the audit firm’s or

legally; and  (2) DA fund managers are required to keep documentation of their activities related to digital asset fund management, including documentation regarding consideration and decision making on

ประกอบการพิจารณา นอกจากนี้ ยังเป็นครั้งแรกที่ ก.ล.ต. ใช้การเขียนภาพสรุปเนื้อหา (visual recording) ให้เข้าใจง่าย ซึ่งจะช่วยให้ผู้บริหารและพนักงาน ก.ล.ต. มีความเข้าใจในแนวทางและทิศทางการทำงาน เพื่อร่วมกัน

Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme

according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary