their clients from their own assets. Additionally, investment token issuers would be prohibited from seeking benefits from their clients’ DA under custody. The consultation paper is available at https
– The Securities and Exchange Commission (SEC) has amended the regulations concerning approval of public offering and information disclosure whereby securities issuers or listed companies are prohibited
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as
/ActandRoyalEnactment/Act/act-sea1999-no2.pdf (Translation) of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
) checking the basic individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and
executive of any listed company on the Stock Exchange and are banned from holding such positions while the complaint procedure is underway. In any case, filing a criminal complaint commences the criminal
or in part, without the prior written consent of Morningstar is prohibited. The Morningstar Investment Management division is a division of Morningstar and includes Morningstar Associates, Ibbotson
shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05/2002 16/06/2002 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi