The Approval of Personnel in the Capital Market Business
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
reference. Notification of the Security and Exchange Commission No. Sor Jor. 41/2559 Re: Application for and Approval of Offer for Sale of Newly Issued Shares By virtue of Clause 21 of the Notification of the
personal data from its cooperation with governmental agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT) and the Office of the Insurance Commission (OIC
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By