ground for the SEC Office to file criminal complaint against such person with the inquiry official, and being under investigation by the inquiry official, or under consideration and prosecution of the
; any legal entity company obtaining securities business license in any other categories exempted by the SEC’s Notification on the ground that the major shareholder’s qualifications will not affect
throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
statements or related reports to the SEC/ SET. 5. A representative is appointed in Thailand throughout the term of the bonds. 6. There is no ground to suspect that the lead regulator of the capital market of
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of
Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for making an investment decision, or misled investors
of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for