participation in the campaign, featuring three tech-based and target-driven initiatives, i.e., (1) SEC Check First, an application for verifying the status of service providers and capital market products

investors in accordance with the Notification of the Capital Market Supervisory Board regarding Application for and Approval of Public Offering of Newly Issued Debt Securities and the Notification of the

SEC therefore revoked the approval of {A} as capital market investment consultant and set the period for acceptance of his re-application for approval as capital market personnel for 2 years and 11

Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the

Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance  of re-application for approval as capital market personnel for

Notification and the Notification of the Capital Market Supervisory Board concerning Application and Approval for Offer for Sale of Structured Notes. Clause 6 Submission of documents or evidence to the SEC

Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund

Page 1 of 9 Form 35 – HK-TH MRF Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form