were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Transaction 28/05/2020 17:10 Notification of Resolutions of the Board of Directors Meeting for approval of the connected transactions of the Subsidiaries of the Company. 11/05/2020 07:22 Notification of
interrupt international travel plans of directors to the point that listed companies are unable to hold the board of directors’ meeting to seek approval of the companies’ financial statements.” In
market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market
Bangkok, June 14, 2013 ? The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving
Concerning Granting of Approval for Undertaking Securities Business B.E.2551 (2008) __________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities