accepting sale orders or clearing the outstanding positions of capital market products in the clients’ accounts only, unless the intermediary is prohibited from accepting the sale orders or clearing the
had taken action so that the persons possessing the prohibited characteristics under (1), (2) or (3) would evade the application of the rules under (1), (2) or (3) by the SEC Office against those
have any of the following prohibited characteristics: (1) having deficiency in legal competence, for instance, being an insolvent person, incompetent or quasi-incompetent person; (2) having or plausibly
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchan...
to the date of submitting an application [under Clause 12] to the SEC Office. In this regard, such prohibited characteristics do not apply to a case where the independent director used to be a
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...
complete a liquidation. Therefore, SUTGH’s shareholders shall be prohibited from offering the Company’s shares throughout a Silent Period, as described above. Details of the Board of Directors’ opinion and
the requirement a Criteria 1. Directors, Management and Controlling parties are i) possess qualifications and not possess any prohibited characteristics or any characteristics indicating a lack of
-Translation- No. ECF2 044/2561 3 December 2018 Subject: Notification of the resolutions of the Board of Directors’ Meeting approving the investment in purchasing the ordinary shares of S-TREK (Thailand) Co., Ltd., capital increase, and the issuance and allocation of the newly issued ordinary shares to the specific person under the private placement basis, and the schedule for Extraordinary General Meeting No. 1/2019 To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum...