imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https
infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe_r.pdf -ร่าง- maturity; (4
duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
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
personal data from its cooperation with governmental agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT) and the Office of the Insurance Commission (OIC
reference. Notification of the Security and Exchange Commission No. Sor Jor. 41/2559 Re: Application for and Approval of Offer for Sale of Newly Issued Shares By virtue of Clause 21 of the Notification of the
with a discount of more than 10 percent of the market price pursuant to the Notification of the Capital Market Supervisory Board No. Tor Chor. 72/2558 Re: Permission for Listed Companies to Offer Newly