supervisor of investment advisory company responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to
recommendation.8 Securities business license shall be in form specified in the notification of the SEC.. Clause 16 In issuing securities business license, the Minister shall prescribe conditions in the following
list in the database of the securities issuing companies due to having prohibited characteristics: O yes O no 6.17 Pending under the period prescribed by an order of an authorized organization under a
order of the Office to be withdrawn from or be refused to put his or her name into the executives’ names list in the database of the securities issuing companies due to having prohibited characteristics
order of the Office to be withdrawn from or be refused to put his or her name into the executives’ names list in the database of the securities issuing companies due to having prohibited characteristics
this 19th Day of July 2006. (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission (Translation) - 12 - Remark: Reason for issuing this Notification is
(Translation) - 12 - Remark: Reason for issuing this Notification is whereas mutual fund and private fund management is the service on the management of the investment capital of investor which is the kind of
: The rationale for issuing this Notification: As the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that the issuance of rules, conditions and procedures for securities underwriting is
from 1 September 2009. Notified this 3rd day of August 2009. -Signature- (Vijit Supinij) Chairman The Securities and Exchange Commission Remark: The rationale for issuing this Notification: As the
2017 to Baht 1,842 million in 2018, primarily due to commercial operation of new plants and an improvement on financing cost mainly attributable to debt refinancing after issuing project bond in May 2018