date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
Board of Directors of Fancy Wood Industries Public Company Limited (the “Company”) No. 8/2017 dated September 8, 2017 approved the investment in the property development business by acquiring the entire
and acceptable manners. Nevertheless, the Company has considered the benefits regarding to acquiring the capital from the issuance of the new shares, as a beginning of the establishment on the crude
Microsoft Word - MDA_E ไตรมาสที่ 2-2560.doc Management Discussion and Analysis: MD&A 1. Company Situation Revenue from the waste treatment business for Q2/2017 has slightly improved due the acquiring
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
2. Inspection of work practices of the client relation unit 3. Inspection of the conflict of interest such as churning in investment unit. 4. Having a time control system in receiving purchase or
of the conflict of interest such as churning in investment unit. 4. Having a time control system in receiving purchase or redemption order of investment unit to ensure the compliance with the time
Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. SEC Act S.300 Settlement Committee
Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license