In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
securities which come with high application fees and do not answer the need of business operators who wish to provide specific services. The SEC has therefore revised the Ministerial Regulation on Securities
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
investors’ understanding and assessment of whether the mutual funds meet their investment needs and mitigate the risk of greenwashing. ** The fee exemption applies to the 100,000 Baht application fee for
oversight 2. Auditor supervision 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the
4 Any legal entity under Clause 2(1) to (5) intending to apply for a securities business license in the category of investment advisory service shall file an application with the SEC Office within the
' representative appointment agreement (in case of secured bonds/ bonds with a bondholders' representative). (original requirements) - Applicable to the offering of bonds only. - Application shall be
Microsoft Word - 2_Company Account AˆˆAI"@%4ˆ1 5_20211124 - kdraft V2.docx 1 Application for Termination of Company Account Date: ..................................................... Attn: Secretary