were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
approved exemption of application fee for an approval of public offering of shares and the Stock Exchange of Thailand (SET) to exempt the application fee for listing of ordinary shares as listed securities
system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code http://market.sec.or.th
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
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