will consider the information obtained from this working group about methods for fund mobilization and the trading of shares of SMEs and startups on secondary markets, as well as the qualifications of
shall be deemed to have obtained general permission and thus be exempted from SEC disclosure requirements. The relaxation is granted to those particular group of investors as they are considered
. Meanwhile, the banks? executives obtained more information on the SEC?s policy and direction to develop Thai capital market which would be beneficial for the consideration on business planning, said Vorapol.
to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage
from service provider. Clause 11. Securities company having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective
exercise of warrants, provided that the resolution is obtained no more than one year prior to the date of filing an application under Clause 5; (3) in cases where the applicant is a listed company wishing to
who shall work full-time for the audit firm. As for the certified public accountants, the following conditions shall also apply: 5 (a) in cases where the audit firm has an auditor who has obtained or is
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card