03/06/2014 01/07/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital Market Business (Synopsis) 03/06/2014 01/07
(United States) . Extent of Ownership and Control Index The SEC has issued the Notification of the Capital Market Supervisory Board No. TorChor. 15/2563 Re: Application for and Approval of Offer for Sale
has issued the Notification of the Capital Market Supervisory Board No. TorChor. 15/2563 Re: Application for and Approval of Offer for Sale of Newly Issued https://www.sec.or.th/EN/pages/aboutus
provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities
investors in accordance with the Notification of the Capital Market Supervisory Board regarding Application for and Approval of Public Offering of Newly Issued Debt Securities and the Notification of the
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
issues such regulations with approval from the SEC.______________________Remarks: * Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 7/2562
amendments contain the following provisions: 1. Cancel the approval application procedure, retain information disclosure in the shareholders' meeting notice, and require the opinion of an independent
strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 50/2559 Re. Report Forms of Securities Business Operators and Derivatives Business Operators