Exchange Act (No. 4) B.E. 2551 (2008), and Section 9(4) of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues guidelines for the consideration as follows: Clause 1 The
new listing application as all 4 criteria of the following apply (referred to Clause 3.2 https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201711/17097259.pdf สารสนเทศข่าว มติ BOD 5-60
- 3210 of 3,262 results Sort by: Relevance Date (Newest) Date (Oldest) 6324se.pdf entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client, an intermediary shall
. _____________________________Remarks: * Pursuant to Clause 23(1) and 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No
the director and executive of issuing and listed companies1 and is therefore banned from holding such positions. ____________________ 1 Clause 3(1) in conjunction with Clause 4(3) and (6) of the
capital market personnel under Clause 33(2)(3), 35(2) and 30(5) and Clause 31(4) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel
channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and
was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for
Clause 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving