.. UNOFFICIAL TRANSLATION Codified up to No. 5 As of 23 March 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the Capital Market Supervisory Board relating to the issuance and offering for sale of securi...
time as specified by the Office or may revoke such approval previously granted: (1) Lacking qualifications under Clause 3(1) or (4); (2) Having any of the prohibited characteristics under Clause 4
Office or may revoke such approval previously granted: (1) Lacking qualifications under Clause 3(1) or (4); (2) Having any of the prohibited characteristics under Clause 4. Clause 9. In managing a mutual
revoke the registration of fund supervisor of such person. In cases where the revoked person under the second paragraph has duties to continue as a fund supervisor of any mutual funds, such revoked person
order otherwise. 12In cases where any person fails to comply with the Office’s order under the first paragraph or fails to comply with the fourth paragraph of Clause 4 or Clause 6/1, the Office may revoke
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to