World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
. Moreover, the existing laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces
from the date specified in the SEC letter to be issued to notify their possession of the untrustworthy characteristics. _______________________* PTL financial year 2016 begins on 1 April 2015.** The
as from the date when the transaction disclosed to The Stock Exchange of Thailand. 4. Details of the Asset Acquired The Sole Area Development Franchise under Trademark “Wuttisak Clinic” in Eastern
sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
------------------------------------------------------------------ This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be
Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect