: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
, except where it has been proven on the contrary that the recipient has not been notified or has been notified before or after the said date and time. Chapter 2 Administrative Proceedings and Imposition of
offer price of 0.10 baht per share, with a total amount not exceeding 311,381,474.90 baht, and a PP to Mr. Alex Loo Liat Wah (the seller of OW), with a total amount not exceeding 125 million baht. The
; thus, if any of them is not approved at the shareholders’ meeting, the others that have already been approved will be voided and any other related matters will not be considered at any sessions of
was for the purchase of mutual fund units on their behalf. However, the money was, in fact, not used for the buying transactions as per clients’ orders, but for Teerasak’s personal matters instead. In
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
as well as conducting e-commerce business and online and offline advertising media, in the total number of shares not exceeding 120,808,387 shares equivalent to 33.05 percent of the total outstanding
trustee shall appoint the settlor as the trust manager”. (b) “this trust is not a juristic person but a pool of assets registered under the name of the trustee and subject to the management thereof; (c
and enforcement mechanisms. However, the measures set forth in the IOSCO CRA Code are not intended to be all-inclusive: CRAs and regulators should consider whether or not additional measures may be