reasonable suspicions, the SEC Office may reject the application: (1) an applicant or an offer for sale of bonds has the characteristic or meets the rules or conditions to obtain an approval according to this
the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification
April 2018 and the acquisition of shares in TSEO will occur after FPI has obtained the approval for the entry into the transaction from the shareholders’ meeting and the conditions precedent as set out in
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
the IPO Plan and the listing of CCPT-KY on the TWSE together with the offering of Optional Shares by the Company (collectively called the “Transaction”) will take place after CCPT-KY has obtained
Valley University, USA. He also obtained a Master of Science – Finance (Financial Risk Management) (1st Class Honors) from University of Reading, UK, as a recipient of an SEC scholarship. Additionally, he
Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which