and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
from being shareholders or being authorized by agreement or any other acts, particularly any person possessing any of the following characteristics: (a) Any person who has the voting rights, whether
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No https://publish.sec.or.th/nrs/3584pe.doc 8264p.doc audit firm, hereby certify and consent to the
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
other three (Mr. Thanaris Pornpattanajamsai, Miss Audcharapron Radchanajun, and Mr. Saksumit Samornpitakul) refused to give consent to the civil sanctions. Consequently, it is deemed that the three
Office’s approval date of the registration of SEC Account. Please specify the reason(s) of the urgency
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of