) ordering him to testify and deliver documents and other evidence to the competent officer by September 13, 2004. Consequently, Mr. Anchanbutr did appear for the testimony. The competent officer requested
been disclosed in the fund scheme and could impact the interests of the fund and its unitholders. It is, therefore, deemed that Maris failed to properly examine the issue of land ownership. Moreover
enforcement of the Emergency Decree and has the power to issue ministerial regulations and appoint competent officers to perform duties in accordance with the Emergency Decree. I. Sanctions The contravention or
deliver documents along with other evidence to the competent officer by September 13, 2004. Mr. Thirachai Phuvanatnaranubala, SEC Secretary-General, said that ?The SEC is now in the process of
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
obtain Investment Advisor or Derivatives Advisor licenses. However, those eligible to provide advice to retail investors must be screened by local securities firms as being competent and reliable foreign
Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities have issued guidelines to set out the procedures
Supervisory Board must be complied with. SECTION 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and appoint competent
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties