(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
process to members and shall include a system, in form of a committee, for consideration of appeals filed by the members against the disciplinary sanction. The Capital Market Supervisory Board rules
official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The
, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction
ข้อมูลเชิงอรรถได้อย่างครบถ้วนก่อนการตัดสินใจลงทุนได้อย่างเหมาะสม 10. บทลงโทษเชิง administrative sanction หากบริษัทหลักทรัพย์ไม่ปฏิบัติตามประกาศโฆษณา สำนักงานจะใช้ดุลยพินิจใน การพิจารณาลงโทษบริษัทหลักทรัพย์
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid