Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
) |- Major Shareholders (section 90 and 91) |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section
Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives
number of the transferor. Later, Sakkarin prepared a withdrawal slip and used 319,953 baht to pay for a securities purchase in another client's account and deposited the remaining amount of the withdrawn
paragraph one hereof shall submit a copy of letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such
letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such letter. Clause 7. This Notification shall
high net worth investors only. The new rules will become effective in a year after the announcement date to allow preparation of asset management firms? operations, except revocation of MF for non
financial institution; (5) being in the period specified by the order of the SEC Office regarding suspension, revocation or prohibition from work in any position or any nature of work as personnel in