performance of a management company; or a management company is unable to continue to meet the criteria set (Translation) Page 3 of 3 out under Clause 5, the Office shall have the power to instruct the branch
under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
this Notification. Clause 6. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the
) B.E. 2559 (2016), on three counts. The Civil Sanction Committee has resolved to instruct the SEC to impose civil sanction on the three offenders, as follows: (1) Warot was subject to pay a civil penalty
upgraded the CPN’s rating and debentures to “AA” with “stable” outlook. As of 30 September 2017, outstanding interest-bearing debts was THB 17,967 mn, comprising of 78% fixed and 22% floating interest rates
securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities trading of the client’s account is an
In the case where it appears to the securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1