investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and
undertaken by the ASEAN Capital Markets Forum ( ACMF ) that allows the units of an ASEAN CIS authorized in its Home Jurisdiction to be offered in other Host Jurisdictions under a streamlined authorization
securities Public company limited Private Placement General approval / no duty to disclose information Public Offering Require approval / disclosure of information Existing securities Owner of the
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
authorization letter + information regarding independent directors b. Shareholder Approval A vote of not less than three-fourths of the total number of votes of shareholders attending the meeting who are
other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th
Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first
-Meeting) with the agenda for consideration and approval of the following:Agenda 1: Consider approval of the following issues:1) Extending the maturity date of the bonds by another 2 years2) Partial
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation