Part 2, the approved foreign entity also has the duty to comply with the Notification of the Capital Market Supervisory Board concerning Selling of Newly Issued Debt Securities and Derivatives Warrants
key points as summarized below: 1) REIT manager has the duty to notify the SEC for the termination of the trust property, as well as gather all accounts, evidentiary documents and
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557. The SEC therefore suspended {A} from his duty as the approved capital
) For listed companies and securities issuers having duty to submit reports such as financial statements to the SEC, if unable to do so under current circumstances, the SEC will consider easing relevant
Thai Bond Market Association. Clause 8 In selling structured notes to public in accordance with Part 2, the Company that has obtained the approval shall have the duty to also comply with the Notification
ENERGY PUBLIC COMPANY LIMITED SEC has ordered AI Energy Public Company Limited (AIE) and its parent company Asian Insulators Public Company Limited (AI) to cooperate with their auditors for the audit of