market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Owing to the fact that her approved investment consultant status
in the latest four consecutive quarters. The Stock Exchange of Thailand (SET) will provide calculation and announcement lists of qualified securities at the end of each quarter.Moreover, the approval
Page 2 Management Discussion and Analysis 1. Significant events in the second Quarter of 2019 1.1 The progress in construction projects - Xayaburi Project, a project of the Xayaburi Power Company Limited
Procedures for Approval of the Private Fund Custodian 22/12/2004 16/12/2004 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital Market
accounting and approval of the disposal of investmentsBS Myco Biotech Company Limited ( 2 st review) 28/12/2021 19:33 Notification of the resignation of the Company's director and appointment of a supervisor
prior approval from the SEC Office, the SEC Office hereby specifies the rules related to approval for outsourcing function related to business operation to a third party as follows: Clause 1 In this
issuers of securitized bonds with foreign risk, in order to align the approval process with such international practices. These proposed amendments are intended to help reduce operational obstacles for