Project participants and their supporters were awarded in recognition of their success in obtaining IPO approval under the criteria.Vorapol Socatiyanurak, SEC Secretary-General, said that ?Pride of the
such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client. They cannot make decisions on behalf of clients
institutional or ultra-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. *** Sareerat’s applications for obtaining SEC approval
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling derivatives contracts; 1
ที่ กบร No. Kor Bor Ror. 019/2018 November 12, 2018 President The Stock Exchange of Thailand Re : Inter-transaction of purchasing assets by subsidiary companies, and transaction of subsidiary company
securities trading account. This constitutes an offense of purchasing securities as a person who knows or possesses inside information under Section 242(1), in conjunction with Section 244(2) and (5), and is
) any other information specified by the Office as deemed necessary for protection of shareholders’ interest; (2) obtaining a shareholders’ resolution approving the issuance of underlying shares for the
application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after