Securities and Exchange Act (the law in effect at the time the offense was committed), in conjunction with Section 83 and Section 86 of the Criminal Code, as the case may be. The group of offenders obtained
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage
from service provider. Clause 11. Securities company having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective
Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Warot’s
exercise of warrants, provided that the resolution is obtained no more than one year prior to the date of filing an application under Clause 5; (3) in cases where the applicant is a listed company wishing to
receives from selling units and is registered with the SEC Office; (17/1)8 “auditor” means a certified public accountant who has obtained an approval from the SEC Office; (18) “association” means an
” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card