where a fact appears that any person has any behavior under Clause 16, the SEC Office may take one or more actions as follows: (1) reject the application for approval as auditor in the capital market; (2
reasonably suspicious circumstance not to identify the real client or beneficial owner, the intermediary shall deny to provide any service. Clause 33 For the purpose of categorizing type of a client , an
deemed to have duly carried out its duties; (3) the trustee or the registrar may deny registration of any person whose holding does not comply with the ratio stipulated by the Notification of the Capital
apply to cases where the right to accept purchase orders is reserved in the scheme. In such event, the mutual fund management company may reject purchase orders as provided for in the scheme; (2) sell or
Office may reject the application for approval of a public offering of newly issued securities under Part 2 or Chapter 2 of Part 3: 6 (1) the applicant or the offering of securities has the characteristics
identify the real client or beneficial owner, the intermediary shall deny providing any service. Clause 33 ( For the purpose of categorizing a client, an intermediary shall consider the received information
identify the real client or beneficial owner, the intermediary shall deny providing any service. Clause 33 For the purpose of categorizing a client, an intermediary shall consider the received information
SEC Office may reject an application: (1) an applicant or the offer for sale of units has the characteristic or meets the rules and conditions to obtain an approval according to this Notification, but
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchan...