issued such order; (6) having a demeanor constituting an offense under (3), which is a ground for the SEC Office to file a criminal complaint against such person with the inquiry official, and being under
made final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession
] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer
] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
judgement of the Appeal Court shall be final. The SEC Office files a complaint with inquiry official for the violation. Violating the prohibition(s) NO. NO - a suspension of trading in securities and
director or executive’s full name] Part 2: Characteristics Indicating Untrustworthiness 1. Being a person having any of the following characteristics: (1) I am an insolvent person, an incompetent or a quasi
responsibility for disclosing information as the securities issuing company, and after the approval has been granted, the person under (2) shall have the duty and responsibility for disclosing information and
: (1) specifying the right of a person to participate in an investment in any project or business; A36633673/0.7/02 Jul 2018 2 (2) specifying the right of a person to acquire specific goods, specific
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...