approval of the offer for sale of the portion of bonds that has not yet been offered for sale or not yet been subscribed for; In giving an order under Paragraph 1, the SEC Office shall take the following
Microsoft Word - GSC013_?????????????-Eng ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial Assistance to
Microsoft Word - GSC013_?????????????-Eng-revised ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
and Exchange Commission Kor Thor. 13/2563 Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
requirements applicable to them. Under the proposed revision, for example, the operators will have to provide unprejudiced advice, supervise the approved contact person giving advice through any media or
Analyzing Investment and Giving Investment Advice dated January 18, 2012. Consequently, the SEC suspended {A} as an approved securities investment consultant for one month.
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and