Microsoft Word - Representative 2551_en_final (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Facebook page "Choose wisely in financial business" : Unlicensed securities and derivatives business (Disclosure Date : 20/11/2025)
’ representative appointment agreement. This initiative aims to facilitate and reduce costs associated with appointing a bondholders’ representative for bond issuers according to standardized procedures
The SEC emphasizes the significance of the roles played by the “bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders
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Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...