considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for
proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the
units, of which their functions constitute or may give rise to conflicts of interest, from other units and personnel, and specifying the work procedures of those units and personnel for preventing
Committee shall prescribe rules governing the proposal of names, consideration and selection of commissioners in the SEC or board members in the Capital Market Supervisory Board within thirty days from the
intermediary ’s services; (c) separating units and personnel of such units, of which their functions constitute or may give rise to conflicts of interest, from other units and personnel, and specifying the work
(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...
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the