client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
the SEC Office in accordance with the form and procedure provided on the electronic system of the SEC Office. Clause 5 In case the SEC Office deliberated that an applicant has correctly and completely
executive of any listed company on the Stock Exchange and are banned from holding such positions while the complaint procedure is underway. In any case, filing a criminal complaint commences the criminal
shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure
assessment, however, raised a point of Thai judicial procedure whereby the cases that have reached court conclusion were significantly outnumbered by the SEC?s complaints. (3) Political and Legal Environment
amendment to the Civil Procedure Code to enable class action law suits, the amendment to law on securitization to be in line with international practices and the amendment to law on provident fund to allow
. Entities Providing Liquidity × V. INFORMATION ABOUT THE PUBLIC OFFERING A. Offer Statistics ม.69 (4) จํานวน และประเภทหลักทรัพยท่ีเสนอขาย B. Pricing ม.69 (5) ราคาที่คาดวาจะขายของหลักทรัพยตอหนวย C. Method
, determine, amend the details of conditions or process an FKRMM including the signing of the Agreement, memorandums or any documents and liaison with government agencies or related regulatory agencies as well