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
price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into
approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation
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
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