Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
4. Before commencing the fund supervisor business, the person registered as a qualified fund supervisor shall notify the Office at least thirty days prior to the date of commencement of such business
. Before commencing the fund supervisor business, the person registered as a qualified fund supervisor shall notify the Office at least thirty days prior to the date of commencement of such business
Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE
use in solving problems, on which companies shall inform its responsible officers. Also, when critical business functions have been restored to normal, companies shall notify the SEC to acknowlege as
time used or expected to use in solving problems, on which companies shall inform its responsible officers. Also, when critical business functions have been restored to normal, companies shall notify the
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the