Jomkwan Kongsakul, Deputy Secretary-General of the Office of the Securities and Exchange Commission, Distinguished guests, Ladies and gentlemen, • I am honored to join you here today to celebrate completion
performance of a management company; or a management company is unable to continue to meet the criteria set (Translation) Page 3 of 3 out under Clause 5, the Office shall have the power to instruct the branch
under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently or prohibit establishment of additional branch offices. Clause 9. Where any management
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
this Notification. Clause 6. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the
securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities trading of the client’s account is an
In the case where it appears to the securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a
B.Grimm has been honored with several rewards which are mentioned below: 1. The Best IPO 2017 in Thailand from The Asset Triple A Country Awards 2017 – The Asset Magazine 2. Best IPO Deal in Southeast Asia