may be; “auditor” means a certified public accountant who has obtained an approval from the SEC Office; “trust manager” means a person performing the duty of a trust manager pursuant to trust instrument
material matter, either under Thai or foreign law; (b) having been rejected by the SEC Office regarding an application for approval of an offer for sale of newly issued shares on a material ground for
or distributing to investor the following documents containing material facts no different from the draft filed with the SEC Office under the Notification of the Office of the Securities and Exchange
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
operation of the company in a significant manner, whether as a result of being a shareholder or authorized under an agreement or any other matter, especially a person falling under any of the following
under Paragraph 1 is translated from any language, the offeror shall proceed as follows: (1) certify that the substance of the translated information has truly occurred or is in existence, and that there
). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2014
Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements
ยากในการบังคับหลักประกัน กรณีข้างต้นถือว่าไม่ได้เป็นการลงทุนในพันธบัตรโดยตรง กรณีนี้ให้ใช้ substance เป็นหลักในการพิจารณา ซึ่งสอดคล้องกับการตีความมาตรา 126(5) ที่ห้าม
’ representative. Clause 7/23 The Company that has obtained the approval in accordance with this Notification shall be exempted from the requirements to submit an application to register debt securities with the