operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Consultant and Director & Executive. 2023 2022 /2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative sanction /1 Including investment analyst Types of Personel
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
& Informed Consent (FPIC) Requirement .......................................................................................................... 17 3.9 Best Practice for Disclosure
22,148,612.01 1,949,899.88 1 2 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities/Digital Assets Trading Activities *This offense was committed
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
Covered Entity is required to submit to an Authority including, for example: interim and annual financial statements and early warning notices; (d) any inspection findings formally communicated to a Covered
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the