the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application and supplemental documents. In case the Office refuses to
Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560**, as the case may be. In the event that any offender refuses to give consent to the sanctions, the SEC will submit the case in writing
Exchange Act (No. 5) B.E. 2559 (2016), the Civil Sanction Committee imposed the prohibition period of 10 years on each of the three offenders. In case any of the offenders refuses to comply with the civil
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other documents under the KYC/CDD process, or produces