, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

Qualifications Related Work Experiences Required Examinations Securities Investment Analysis Related Rules on Investment Analysis Person approved or registered to perform duties in the same manner as ASEAN

applying for approval using similar qualifications of investor contacts approved by or registered with any foreign regulatory organizations accepted by the Office, the application shall be submitted by the

Special Extension for Approved Status of Auditor, Financial Advisor and Compliance

on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1

actions regarding these projects. Information about SEC-approved companies offering securities and/or digital tokens can be found at SEC's website www.sec.or.th. Currently, there is no authorized

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

Bangkok, May 26, 2014 ? The SEC requires an application and information disclosure for offshore offering of convertible debentures (CD) be jointly prepared by CD issuer and SEC-approved financial

Connected Transaction, 2003 as follows; 1. Related party transaction between Carnival Magic Company Limited and the relating company The Company's Board of Directors' meeting has approved the transaction

bondholders; “financial advisor” means a financial advisor on the approved list of the SEC Office; “financial institution” means a commercial bank, finance company or credit foncier under the Law on Financial