, Glow misled the general public that trading of such derivatives was an easy way of making profit and persuaded investors to appoint its employee as agent for submission of derivatives trading orders. The
transaction participate in this decision making. Those who are unable to attend the meeting are advised to appoint other person as their proxy to vote on their behalf, in which case their voting decision should
From February 1, 2010 onwards, securities companies no longer need to hire full-time executives and may appoint executives of other securities companies as their own (cross-directorship), on the
behaviors could be construed as obstructive since he has made no effort to convene an urgent shareholders meeting to appoint new directors. For example, he refused to attend the board of directors’ meetings
meeting promptly so as to give shareholders an opportunity to appoint those they find appropriate as new directors, and to explain how his request for the DBD to review its decision or the intention to
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
Securities Borrowing and Lending Limited BDU Investment Advisory Derivatives Advisors Approval and Standards Practice Code of Conduct Fees Related Circular Letter Appoint/Approval/Code of conducts and Standard
period of sale and allocation. 2. Appoint financial advisors and / or underwriters and / or credit rating agencies of issuers of securities and / or securities and / or any other persons in the event that