, Prakaidaw, the company?s marketing officer, had made, with the client?s consent, derivatives transactions on the client?s behalf. Later, the client refused such unordered transactions, to which Prakaidaw
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “general investor” means an investor who is
. 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
SEC Office (ECM) The SEC Office receives the following personal data from its cooperation with government agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of
/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
the existing Concession Agreements after obtaining the approval from the shareholders’ meeting and after obtaining the consent from the Council of Ministers. 5. On September 30, 2018, the Company has
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of