website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the
executive of the company; [ specify director or executive’s full name ] 3. Where it is apparent to the SEC Office that I have characteristics indicating untrustworthiness, the SEC Office may de-list my name
supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management
person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator in the countries in the ASEAN Economic Community (“AEC”). (3) being an outbound product which is
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator of any member country of the ASEAN Economic Community (“AEC”). (3) being an outbound product
Economic Community) (“AEC”) (3) เป็นผลิตภัณฑ์จากต่างประเทศที่มีการเสนอขายในลักษณะใดลักษณะหนึ่งดังนี้ (ก) เป็นผลิตภัณฑ์จากต่างประเทศที่มีการเสนอขายอยู่ในประเทศที่หน่วยงาน กำกับดูแลตาม (2) ตั้งอยู่ (skin in
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
) Community / society development (8) Creation and distribution of innovations responsible to society, environment and stakeholders. Selection of subjects for implementation and disclosure : As businesses
(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...