application with the SEC Office, provided that the action taken hereto shall base upon the commission of the following offences: (a) an offence regarding dishonest acts in relation to accounting professions or

commission of the following offences; ​dishonest acts in relation to accounting professions, an offence regarding documents or accounts as specified by Section 312 of the Securities and Exchange Act of 1992

1 แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ (แบบ 69-ASEAN) แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ กรณีบรษัิทไทยเสนอขายหลักทรัพยใ์นไทยและประเทศกลุม่อาเซยีนพรอ้มกนัหรอืในเวลาใกลเ้คยีงกนั Registration Statement for Thai-incorporated Company to offer for sale of securities in Thailand and ASEAN member country simultaneously or in proximate period (ชือ่บรษัิททีเ่สนอขายหลักทรัพย)์ (Commercial Name of the Issuer) - ใหร้ะบลุกัษณะทีส่ าคญัของหลักทรัพยท์ีเ่สนอขาย เชน่ ประเภทหลกัทรัพย ์จ านวน ราคาเสนอขายต...

distribution of the prospectus, the information used in the advertisement shall comply with the following rules: 10 (1) containing no false, misrepresentation, exaggeration, distortion, concealment or misleading

exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of giving

securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of

under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients

distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as

distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as

prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an