discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the
overstated, distortion, or concealed or substantive misleading information; (2) the advertisement shall not urge the client to make a decision to use its services or invest in capital market products ; (3) the
unless there is a reasonable ground to believe that by the time the search warrant is obtained, the document or evidence may be relocated, concealed, destroyed, or deformed, then the search, seizures, or
. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note : The rationale for issuing this Notification (1) to revise the qualifications of the
overstated, distortion, or concealed or substantive misleading information; (2) the advertisement shall not urge the client to make a decision to use its services or invest in capital market products ; (3) the
of promissory note as the case may be as a supplement for the usage of credit rating assessed by credit rating agencies; (4) shall regularly revise the suitability of the credit rating selected
_______________________________________________________________ Note : The rationale for issuing this Notification 1) to revise the rules on qualifications of applicant for approval of property fund manager whose approval is based on their holding of executive
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
services. In case of change of material information, the intermediary shall review the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and
application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered person to revise its