work for such persons to have full or partial managing power in the securities company.
Section 67 : (1) fails to pay partial or total fees as specified by Section 8(2); (2) contravenes or fails to comply with Section 25, Section 26, the first paragraph of Section 30, Section 31, Section 32
, to any person with whom the derivatives business operator enters into an agreement authorizing such person as well as those who work for such person to have full or partial power of management in its
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of
(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...
and supplementary documents are untrue and incomplete and contain any false statement or omit any fact that should have been expressly disclosed in material respects In this regard, the company has
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office