certain provisions relating to restriction of rights and liberties of persons which Section 29, in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44, and Section 64 of the
high net worth investors under Clause 21(3) that has been included an offer for sale of investors registered for a transfer restriction within no more than ten specific investors within any four- month
ข้อมูลเชิงอรรถได้อย่างครบถ้วนก่อนการตัดสินใจลงทุนได้อย่างเหมาะสม 10. บทลงโทษเชิง administrative sanction หากบริษัทหลักทรัพย์ไม่ปฏิบัติตามประกาศโฆษณา สำนักงานจะใช้ดุลยพินิจใน การพิจารณาลงโทษบริษัทหลักทรัพย์
to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure Code to enable class action law suits, the amendment to law on
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 o...
Microsoft Word - ลำดับที่ 34_39_สธน26-49.DOC (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company _____...
. The offer for sale under paragraph 1(2) and (3) that has been registered for a transfer restriction within the institutional investors or high net worth investors shall not be considered as an offer for
Schemes to Non-retail Investors, with authority to impose sanction to or order the CIS operator of such ASEAN collective investment scheme to act or refrain from acting in case where the action may cause
was able to maintain debt to equity ratio according to the restriction of long-term loans from local financial. Management and service agreement (Royalty fee) On 1 January 2015, the Group entered into