the NRI CIS have been or would be offered for sale in Home Jurisdiction, and have not been the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify
company for 14 months. Whereas Amornrat and Walailuk will be barred for 9 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with civil
director or executive at any publicly traded company and any securities company for 12 months each. The banning period shall begin from the date each offender signs the letter of consent to comply with the
executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil
of any securities issuing company or securities company for 26 months, 9 months and 12 months, respectively. The banning period shall begin from the date when the offenders sign the letter of
, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
be under the banning order of sale. Chapter 3 Offering for Sale Regarding Units of Foreign Collective Investment Scheme to General Investor _________________________ Clause 7 Units of a foreign
% compared to the same period last year due to a shutdown policy imposed by Civil Aviation Authority of Thailand (CAAT), that is, banning an international flight to Thailand in order to prevent a spread of
ASEAN collective investment scheme in the jurisdiction of the home regulator and not being under the banning order of sale of units of such ASEAN collective investment scheme. (5) having the offer for