shares of foreign companies” means a company whose core business is the holding of shares of other companies which are established under foreign laws, and such company has obtained an approval to offer

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the

. Business takeover Persons: shareholders of the company and/or related parties Related party transactions (RPT) of the listed company for which it is required to obtain approval of the shareholders, or asset

capital market business personnel for 6 months, effective from June 27, 2015.  *Clause 11(6) of the SEC Office Notification No. SorKhor.15/2548 Re: Approval of Investor Contacts and Standards of

17. Following the SEC Office’s order to revoke an approval, the securities company or the derivatives business operator shall undertake any steps to remove such director, manager or person with power

Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020.  Investors are

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

ที่ BCH No.BCH.019/2018 26 February 2018 Subject : Approval of transaction with connected person Attention : The President The Stock Exchange of Thailand The Board of Directors’ Meeting of Bangkok

securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four

duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such