committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in
minimum requirements for business operators and protect investors.?The SEC has also cooperated with the Bank of Thailand and the Office of Insurance Commission to build a supervisory linkage that ensures
reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 10/2556 Re: Submission of the Registration Statement for an Offer for Sale of Debt Securities
Supervisory Board No. Tor Nor. 41/2564 Re: Provisions relating to Offering for Sale of Units of Collective Investment Schemes between Hong Kong Special Administrative Region of the People’s Republic of China
/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription
relating to offeror means “connected person” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription, Underwriting and Allocation of Newly Issued Securities; (b
means “connected person” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription, Underwriting and Allocation of Newly Issued Securities; (b) in the part