Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major shareholders
Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
juristic person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange Commission regarding approval of juristic persons as marketing representatives of private
appoint a juristic person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange Commission regarding approval of juristic persons as marketing representatives of
Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint
01/03/2017 2. Notification of the Securities and Exchange Commission KorKhor 16/2551 Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold
e-service Online Submission See canceled document Limited BDU >> Approval & Qualifications (Section 103, 104) Type Title Section See Document Status Notified Date Effective Date 1. Notification of