Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 o...
Microsoft Word - ลำดับที่ 34_39_สธน26-49.DOC (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company _____...
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment of sub-agent
civil sanction with civil penalties at the total amount of 10,553,382 baht plus interest, as well as a prohibition of securities and derivatives trading and a bar from holding the director and executive
with the Criminal Court for a longer-term prohibition on their departure. ________________________
legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer
from the one-year prohibition. This is to allow the offeror to make the tender offer within one year and give the securities holders of such business the opportunity to consider the offer. 2
] its parent company, subsidiary company, associated company, major shareholder or controlling person. In this regard, the foregoing prohibition does not apply to a case of which the relation thereof has