entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund
) Granting a waiver from an event of default under the terms and conditions in the case where the bond issuer mortgages the company's assets as collaterals for loan repayment; and(7) Granting consent to a
months. The civil sanction imposed by the CSC will take effect when the offenders sign a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit
months. The civil sanction, as imposed by the CSC, will take effect when the offender signs a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
บุคคล และจัดทำนโยบายความเป็นส่วนตัว (privacy policy) (2) จัดทำแบบฟอร์มการขอความยินยอม (consent form) (3) จัดให้มีมาตรการรักษาความมั่นคงปลอดภัยที่เหมาะสม เช่น การกำหนดสิทธิ์การเข้าถึงข้อมูล (access control
company for 14 months. Whereas Amornrat and Walailuk will be barred for 9 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with civil
director or executive at any publicly traded company and any securities company for 12 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with the
Section 86 of the Criminal Code. The Civil Sanction Committee decided to impose civil sanction on both offenders, who subsequently made a statement of consent to the civil sanction and fully complied
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments