their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

shareholders. ✓ ✓ ✓ Form for notifying the change of document storage (Form 89/15-3). ✓ ✓ Other information regarding the disclosure documents, letters of acknowledgement of obligations, or written

prescribed under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office when notified by the SEC Office; (2) any other documents and evidence as stated on the SEC Office’s

purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office

the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives

Board.Therefore, the SEC is now open for public comments on the draft regulation on capital requirement and other relevant documents. Key points are summarized as follows:  (1) Adjustments to the paid-up

assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht:           1

documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or

Prescribing Forms of Applications for the Offer for Sale of the Non-Voting Depository Receipt and Supporting Documents