Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
ทรัพย์และตลาดหลักทรัพย์ (“สำนักงาน”) จึงเห็นว่า มาตรการหนึ่งที่จะเสริมสร้างให้ผู้บริหารและ Fund Managerꃂ䌀⬎䤎Ў✎㈎ℎ⨎㌎Ўㄎഎ䌎ᤎ䀎⌎㜎䠎ⴎᐎㄎĎ┎䠎㈎✎Ѐ㜎ⴎĀ㈎⌎Ď㌎⬎ᤎᐎ䌎⬎䤎ᨎ㠎ЎЎ┎ᐎㄎĎ┎䠎㈎✎ℎ㔎Ў✎㈎ℎ⌎ㄎᨎᰎ㐎ᐎⴎᨎ⨎䠎✎ᤎᔎㄎ✎⠀瀀攀爀猀漀渀愀氀
) 23/2552 เรื่อง มาตรการดำเนินการบันทึกคะแนนความผิด (point system) ลงวันที่ 6 สิงหาคม 2552 (“หนังสือที่ กลต.น./ธ.(ว) 23/2552”)ꃂ㘎䠎ᨎㄎЎㄎᨎ䌎䤎Ďㄎᨎᰎ㤎䤎ᨎ⌎㐎⬎㈎⌎䄎┎『ᰎ㤎䤎ࠎㄎᐎĎ㈎⌎Ďⴎᜎ㠎ᤎ䈀ᐎ∎ᤎ㐎∎㈎ℎᰀᰠ㤎䤎ᨎ⌎㐎⬎㈎⌎ᴎ†ⴀ䤎㈎ⴎ㐎ᔎ㈎ℎᬎ
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