. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Operational Control in Securities Underwriting _____________ By virtue of Section 14 and Section 116 of the Securities and Exchange Act B.E. 2535
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform
Section 103 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform the
Act B.E. 2535 (1992). Clause 3. This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of
virtue of the Securities and Exchange Act B.E. 2535 (1992). Clause 3. This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr. Thirachai Phuvanatnaranubala
Securities and Exchange Act B.E. 2535 (1992) and Section 139(5) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.2) B.E. 2546 (2003) which contains certain
) -------------------------------- By virtue of the Section 126(1) of the Securities and Exchange Act B.E. 2535 (1992) and Section 139(5) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act