results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
client’s permission or consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued
securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or consent in writing. Clause 7
has received a written approval from the mutual fund supervisor or a written consent of the clients or the provident fund committee, whichever the case may be, the management company may bypass the
for the fund with a connected person only upon the approval of the mutual fund supervisor or the consent of the client or the provident fund committee, whichever the case may be, in writing before
application for license, the application for approval, the permission, the approval and the payment of fee shall be in accordance with such Ministerial Regulation and the relevant notifications. Clause 26
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
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
22,148,612.01 1,949,899.88 1 2 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities/Digital Assets Trading Activities *This offense was committed
. 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