In case a unit offeror has failed to comply with the rules as prescribed in this Notification, the unit offeror shall comply with one or many of the following acts ordered by the SEC Office: (1) cease
, the SEC Office has the right to cease or revoke the use of SEC Account without prior notice; 8. The Applicant shall not falsely claim or act in any way that violates personal rights by using data of
not based on facts or any part of it is false or in violation of the conditions prescribed by the SEC Office, the SEC Office has the right to cease or revoke the use of SEC Account without prior notice
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt securities dealing or cease to execute debt securities dealing
to the case where securities company cease the business as debt securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the
) cease to be the manager of the management company or any equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets if such person obtain an
Clause 6 of the SEC Notification No. KorChor. 53/2545, the waiver granted by the Office shall cease immediately. In such case, the applicant shall further comply with the SEC Notification No. KorChor. 53
qualified to be fund manager if such approved person has the following characteristics: (1) cease to be the manager of the management company or any equivalent position called otherwise who take the highest
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...