Bangkok, January 30, 2014 - The SEC imposed a three-month suspension of approval on {A} of Maybank Kim Eng Securities (Thailand) Plc., Nakhon Ratchasima branch.This follows a report from Maybank Kim
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
business operators from responsibility in the outsourced activities.The business operators will be allowed to outsource the activities to any other business operators without seeking for the SEC approval but
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
statement and draft 3 prospectus to obtain approval from the Office of the Securities and Exchange Commission. Digital tokens may only be offered to investors of the types and conditions specified by the
investment in SUTG (the “Investment Disposal Transaction”). The Board of Directors’ consideration and approval of such disposal of investment in SUTG is in line with and based on the results of consideration
Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19
liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.