concerning Rules on Personnel in the Capital Market Business. Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be director or
director with power of management to the position of director without power of management, it shall be deemed that the securities company has already obtained the approval from the SEC Office. In this regard
Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Warot’s
. A subsidiary has submitted for the returning of it Digital TV license to NBTC, and obtained letter of the approval of the returning on 27 June 2019 and the notice of the date of service termination on
, received, stored or processed through electronic procedures; “securities company reporting https://publish.sec.or.th/nrs/6999se.pdf 21061047.pdf technology solutions for electronic devices 3. providing
. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs/3890pe.doc -ร่าง
exchange business under Section 3 of the Emergency Decree, for which OKX has not obtained a license, in violation of Section 26, and subject to offenses and penalties under Section 66 of the Emergency
for asset allocation advice. From the meeting, the SEC received useful comments and suggestions on regulatory issues, such as securities offering and selling agents, and the issues of financial literacy
receivables decreased by 494.8 MB, representing a decrease of 23.9% because in Q1- 2022, the Company received payments from major receivables and also obtained lower revenue from delivered project. Contract