negative impacts on market conditions and investor confidence. over the years, to ensure market stability and minimize adverse effects on short selling transactions, the SEC has approved the Stock Exchange
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1) own, possess, hold any proprietary
อย่างยั่งยืน ความเชื่อถือและความเชือ่มัน่ TRUST & CONFIDENCE ต่อตลาดทุนและสมรรถนะของ ก.ล.ต. ทิศทางการก ากับและการพัฒนาตลาดทุนไทย ตลาดทุนมคีวามน่าเชือ่ถือ (Trust and Confidence) ตลาดทุนเป็นแรงขับเคล่ือนส
stakeholders’ confidence in the way we conduct our business. The Company therefore would like to invite its shareholders to propose agenda topics for the 2018 Annual General Meeting of Shareholders (AGM) in
Building Confidence in the Capital Market No. 179/2014 SEC notifies ABC to rectify Q3/2014 financial statements Bangkok, December 17, 2014 – The SEC notified Asset Bright Plc. (ABC) to rectify its Q3
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
practice. Clause 2 An intermediary shall provide one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited