Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
provided for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining
for EMM which committed an offence under the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289 by operating securities business without obtaining license
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
that indicates that a director, manager or the person responsible for the operation of a juristic person may have committed an offense under Section 89/25, for example, taking the assets of the
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
had committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for being a director who acted to obtain falsified accounts or