having been settled the case with a fine for such offence; (d) having been pending under charge or criminal proceeding by competent authorities for the offence under (c). (5) directors, managers and any
เปนหนวยงานที่เปนสมาชิก International Forum of Independent Audit Regulators (IFIAR) หรือไดรับการยอมรับจาก European Commission (EC) เปนตน (3) ผูสอบบัญชีตางประเทศที่ยื่นขอความเห็นชอบตามแนวทางเดีย
be registered in the ASEAN member countries whose 12 capital market regulators have signed the Memorandum of Understanding on Streamlined Review Framework for ASEAN Common Prospectus with the SEC
regulators have signed the Memorandum of Understanding on Streamlined Review Framework for ASEAN Common Prospectus with the SEC Office. Chapter 2 Filing Procedures and Consideration of Application on an Issue
newly issued ordinary shares on the SET. (3) To liaise with government authorities or related regulators, such as the SEC, the MOC and the SET and any related person or organizations. 6. Approved the
ผลตอบแทนท่ี ยั่งยืนในระยะยาว I Code นี้ใช้กับผู้ลงทุนสถาบัน ดังนี้ (1) ผู้ลงทุนสถาบันท่ีให้บริการจัดการเงินลงทุน (Asset Managers) ซึ่งอยู่ภายใต้ การก ากับดูแลของ ก.ล.ต. เช่น บริษัทหลักทรัพย์จัดการ
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on
: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on
___________________ Chapter 1 Fund Managers __________________ Clause 3 In this Chapter, “relevant employee” means an employee of an investment management company who, in the course of his/her job duties, receives
investment on assets (Revision 2) Attention: Directors and Managers The Stock Exchange of Thailand Attachment: 1. Information on the investment on assets 2. F53-4 form 3. Details on the issuance of warrants to