example, hurricane damage to customer warehouses halts manufacturing and leaves them unable to pay loans Direct: data centres are flooded and unable to service customers leading to a resilience incident
suspends the approval for the remaining period of approval. Clause 27 In cases where the facts appear as follows, the SEC Office may suspend or revoke its approval for auditor in the capital market as deemed
where the SEC Office declines to grant an approval, on its own discretion, under Clause 7, or prohibits to perform the duties, suspends or revokes an approval under Clause 8(2) and (3), or Clause 9(3), or
(b), (4) or (5); (4) the SEC Office revokes or suspends the approval for the remaining period of approval. 1 Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor
approval on the trust manager or suspends its business operation for more than ninety days under the under the Notification of the Securities and Exchange Commission regarding Rules, Conditions and
, ceases to be a juristic person, or ceases to be a commercial bank; (3) the trustee is dismissed from trusteeship; (4) the SEC temporarily suspends the trustee’s undertaking of trust business, or revokes
) the SEC temporarily suspends the trustee’s undertaking of trust business, or revokes the approval granted to the trustee to undertake trust business. SECTION 23 A trustee may resign or be dismissed from
management company does not sell or repurchase investment units, or suspends accepting purchase or redemption orders under Clause 28(1), (2), or (3) longer than one business day, the mutual fund management
and issuing temporarily halts to trading. The inspections revealed satisfactory results. Debt Market Develop infrastructure to facilitate dealer operations and enhance liquidity in the debt market
.. UNOFFICIAL TRANSLATION Codified up to No. 5 As of 23 March 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the Capital Market Supervisory Board relating to the issuance and offering for sale of securi...