transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
to the public without the necessity to request for permission from SEC, according to the meeting resolutions of SEC Board on 1 August and of the Capital Market Supervisory Board (CMSB) on 5
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board No. TorChor. 72/2558”), calculated from the
the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board
(UNOFFICIAL TRANSLATION) Codified up to No. 10 As of 28 February 2020 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 Capital Market Supervisory Board No. Tor Jor. 3/2558 Re: Provisions relating to Offer for Sale of Shares Issued by Foreign Company Whose Shares Are Not Traded on Foreign Exchange _______________ By virtue of Sections 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as...
preparing documents to be submitted to The Securities and Exchange Commission (“SEC”) for permission to set up Trust. In addition, the Company’s Board of Directors has passed a resolution to approve the
) Application fee for approval of auditor in capital market Remarks: for the following applications: 1. New application; 2. Other applications not requiring a fee at the rate of 250,000 baht 50,000 baht 2
Notification of the Office of the Securities and Exchange Commission concerning determination of fees for filing, registration and other applications. The Office shall disclose the result of the application in