to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three
capital market. Chapter 1 Application for Approval as Auditor in the Capital Market ___________________ Division 1 Filing of Application ______________________ Clause 7 Any person intending to be an auditor
Market Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person
Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “derivatives broker” means a person licensed to
and operated; (2) the applicant shall appoint a contact person in Thailand for the purpose of coordinating and contacting with any person including receiving notice, order, warrant or any document
Blank No. 10000/065/2018 13 July 2018 Subject: Disposition of Shares in Nido Production (Galoc) Pty. Ltd. by the Subsidiary Attn.: President The Stock Exchange of Thailand The Board of Directors of
of the entire investment in ordinary shares that the company holds in the subsidiary to the person who is an unrelated party. However, the issues on which the auditor expressed a qualified opinion in
to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for