approval of juristic persons as marketing representatives of private funds and standards of conduct. In appointing a juristic person as representative for sale or acceptance of redemption of investment units
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
precedent have been fully satisfied, which are (1) GPSC has obtained approval from its shareholders meeting to enter into the Share Purchase Transaction; and (2) GPSC has obtained the relevant approval from
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
SEC therefore revoked the approval of {A} as capital market investment consultant and set the period for acceptance of his re-application for approval as capital market personnel for 2 years and 11
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
required if the applicant has submitted the SEC Office’s letter of acceptance for the audit firm to allow the applicant who is an affiliated auditor to apply for approval via the fast track system. 3
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in