short selling transactions, whether originating from foreign or domestic activities, cause the prices to deviate from the normal market conditions, the public can rest assured that the SEC can and will
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
explanation as to why it was necessary for the auditor to provide these services and how the independence and objectivity of the audit was assured. 7.9 Audit committee The board should establish an audit
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
has reduced proportionately to the loss of Asia and Poland from the group. These re-baselined figures have been independently assured by KPMG in December 2020. We have surpassed our first emission
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
who have made investment in small and medium enterprises. In order to be assured that those funds who have received tax privileges comply with prescribed conditions, the SEC has been given
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited