Transitional Provisions ______________________ Clause 14. The person who has obtained permission or approval for being advisor under the Notification No. OrNor. 2/2545 or securities investment analyst under the
derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the
. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data 1. Information from the approval for the offer for sale and report of the results of the
Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval process, and other requirements 12 Appendix 1: Recognised ACMF member countries for ACMF Pass framework 13
Approval for Undertaking of Derivatives Business (No. 2)