significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has
membership; (5) the provisions regarding the number of committee members, the election and appointment procedures, the term of office, the termination of office, and the meetings of the fund committee; (6) the
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a
leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d
, the procedures for election and appointment, the term of office, the termination of office, and the meetings of the fund committee; (6) the provisions regarding the employees’ savings and the employer’s
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
(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...
director is also an independent director or member of the audit committee or any other committee. In addition, specify the number of the board's meetings and the attendance of each director during the past
also an independent director or member of the audit committee or any other committee. In addition, specify the number of the board's meetings and the attendance of each director during the previous year
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...