? Procedure for Civil Sanctions In cooperation with public prosecutors to proceed this step The SEC Office invites the alleged to undertake the civil sanctions determined by CSC. The offender shall comply with
Covered Funds and Covered Management Companies and related Cooperation Dated 20 January 2021 This MoU has been concluded between the SFC and the SEC in light of global financial market growth and increasing
public or any specific person; (4) any step taken thereafter to rectify, remedy or prevention of recurrence of similar facts or behaviors; (5) level of cooperation of the auditor with the SEC Office or any
subsidiary acquired new fixed assets amounting to 135.46 million baht in which derived from purchase of land and factory building from related person for the subsidiary’s lease for operation amounting to 60.34
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
Operator) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
”, “associate company”, “connected person”, “executive”, “major shareholder”, “controlling person”, “person who may have a conflict of interest” and “consolidated financial statements” shall have the same meaning
resolution of the Board of Director Meeting No. 1/2019, held on February 25th, 2019 of Hwa Fong Rubber (Thailand) Public Company Limited. that approved renew the Technical Cooperation Agreement between Hwa
resolution of the Board of Director Meeting No. 7/2018, held on August 6th, 2018 of Hwa Fong Rubber (Thailand) Public Company Limited. that approved renew the Technical Cooperation Agreement between Hwa Fong