แนวปฏิบัติการส่งข้อมูลผ่านระบบ IPOS และวิธีการส่ง hard copy สำหรับตราสารหนี้ 1 ฝ่ายจดทะเบียนหลกัทรัพย์ตราสารหนีแ้ละตราสารอื่น ระบบออกและเสนอขายหลักทรัพย์ INITIAL PRODUCT OFFERING SYSTEM (IPOS) ปรับ
) http://market.sec.or.th/public/orap/orap01.aspx?lang=th Office hours for submitting the applications is as follows: Monday to Friday (business days) from 8.30 – 3.00 p.m. 2. If submitting in person: Hard
a money borrowing; “connected person” means any individual or juristic person having one of the following relationships with the director, executive, major shareholder or controlling person of a
-General The Office of the Securities and Exchange Commission (SEC Office) We, [Name of the juristic person or non-juristic group of persons in Thai and English], having an office at
) We, [Name of the juristic person or non-juristic group of persons in Thai and English], …………………………………………………………………………………………………………………………………….………………..……… having an office at
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a
the SEC’s recommendation may give a waiver of such disqualified characters to such person; (b) for individual, [such individual] shall not have the disqualified characters under (a)(iii), mutatis
law on concerning agricultural futures trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of Thailand; (21) juristic person in the category of
Manager dated 30 August 2006 shall be repealed. Clause 2. In this Notification: “Executive Director” means any person who is appointed by the board of directors as an executive director or authorised with