has the characteristics or structure in compliance with the rules or conditions for approval under this Notification but a certain fact leads to the consideration that the true intention or the
characteristics or structure in compliance with the rules or conditions for approval under this Notification but a certain fact leads to the consideration that the true intention or the substance of the offer for
; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 32, Section 33, Section 41, and Section 43 of the
capital market; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 32, Section 33, Section 41, and
for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 32
may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
, namely (1) Mr. Sawin Chindakul, (2) Ms. Paradee Teawanitchakul, and (3) Mr. Noppadon Chaidarun in order for the DSI to conduct further legal proceedings in the case of EARTH’s violation of the SEC’s order
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of