________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992), with the approval of the Capital Market Supservisory Board, Section19
businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be
. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be aware
Bangkok, January 30, 2014 - The SEC imposed a three-month suspension of approval on {A} of Maybank Kim Eng Securities (Thailand) Plc., Nakhon Ratchasima branch.This follows a report from Maybank Kim
Approval of Foreign Auditors
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions