: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities
made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted
conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those
on August 17, 2017, approving for submission of the final offer to make a bid for 30 MW solar farms. In the event of the final offer is accepted by the Seller, the Board also approved for negotiation
and responsibilities effectively. Principle 3.6 The board should ensure that the company’s governance framework and policies extend to and are accepted by subsidiaries and other businesses in which it
significantly in the past years. The above actions will boost six strategic moves set out in the strategic plan, comprising (1) attaining high regulatory standards on par with internationally accepted standards
implements good governance, is accepted by its members, and is able to bring about the growth of their investment that would lead to sufficient retirement income for their employees. The management model of
Kornyachath as capital market business personnel for 10 years, starting from 9 December 2016. A re-entry application will not be accepted until the revocation period ends. ____________________ * Violation of
Department accepted on 13 May 2018. Earlier, the Department dismissed IFEC request to have Mr. Theetiphan Thepphadungporn registered as a new director.Having only three directors on the board is insufficient
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders