by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or

appears that the applicant’s qualifications do not comply with Clause 21(2), in notifying the result of the application, the SEC Office shall have the authority to the timeframe or conditions for its

under process, by calculating the size of the connected transaction and notifying again.) Started business : within the first quarter of 2021 Registered Capital : THB 60,000,000 Par Value : THB 5 Number

-mail notifying list of incorrect or incomplete documents and a period of time for the applicant to fix or fill up additional information. ** The SEC Office will not consider the application or begin the

180 days from the license approval date to 270 days from the notifying date of the license approval. This is to better align with the practical timelines of the industry and the practices of digital

of default according to the specified terms, and a waiver of actions related to such event of default:(1) The bond issuer’s failure to perform the duty of promptly notifying the bondholder

May 2020, SEC sent a circular to AIMC, the Provident Fund Association and the asset management companies with PVD portfolios, notifying the Notification of the Finance Ministry and requesting that asset

begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less

date to be specified in the notifying letter of the SEC Office.  ________________________________

Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj