circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient
. Clause 29. Filing of an appeal shall not be a cause of relief as to the enforcement of the administrative sanction. The appellant, however, may file a motion for relief together with the appeal and explain
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
been in motion before the pandemic but perhaps the use of technology has been fast tracked as a result of the lockdown and containment measures. We were forced to connect through technology to move
party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion requesting the arbitrator to interpret such statement within thirty days from the
party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion (UNOFFICIAL TRANSLATION) - 10 - requesting the arbitrator to interpret such
party has doubts relating to the statement in the dispute resolution, such party may file, through the Office, a motion (UNOFFICIAL TRANSLATION) - 10 - requesting the arbitrator to interpret such
become apparent, that an investment scam or fraud has taken place. • Recognises that “low risk, high return” investments do not exist.
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...