and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
SEC Secretary-General Rapee Sucharitkul said that SEC has issued the notification relating to business operations of digital asset business operators under the royal decree on digital asset
shareholders’ resolution of approval to issue shares in sufficient support of the exercising of the conversion right before issuance for sale of convertible debentures, etc. In addition, the SEC has revised the
. *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
Commission hereby issues the following regulations: Clause 1 Notification of the Securities and Exchange Commission No. KorKhor. 16/2551 Re: Approval for Undertaking of Derivatives Business in the Category of
replacement of the said two notifications. Besides, as the suspension on approval of investment consultant was the 2nd category of the prohibited characteristics under Clause 30(5) of the Notification No
appointment of REIT manager, the Office of the Securities and Exchange Commission has issued a set of requirement for the approval of the REIT manager as follow: Clause 1 This Notification shall come into force
approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 5 The SEC Office shall have the authority to revoke an approval in the following conditions