manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Bangkok, June 5, 2014 ? The SEC joined with the Association of Thai Securities Companies, the Association of Investment Management Companies, the Thai Bond Market Association, The Thai Bankers
Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years
, and (5) breach of ethical and professional code of conduct prescribed by the Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit