trading decisions on the client's behalf from June 2009 until April 2011. Furthermore, she asked the client to sign the application of the securities transfer despite the amount of the client's securities
she has already been suspended by Finansia Syrus Securities Plc. for six months, the banning of her application is thus remained nine months, starting from April 11, 2013.
service providers and approved individuals under SEC supervision are available at www.sec.or.th/seccheckfirst and SEC Check First application. The public should verify information before believing it to
establishment and management of Thai mutual funds as usual on the condition that they are not contradictory or inconsistent with the cooperative framework under HK-TH MRF. - Regarding application for
operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. Clause 6. The SEC shall consider and issue an order relating to the
business operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. 2 As added by the Notification of the Securities and Exchange
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the
application to the Office, together with documents and evidence as per the forms and procedures provided in the electronic work system of the Office. The Office shall notify the securities company of the result
Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for and Granting of Approval to Undertake Trust Business dated 4 June 2009, the SEC Office hereby issues the following