Supervisory Board No. Tor Jor. 17/2561 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities _______________________ By virtue of Section 16/6 and Section 89/27 of the Securities and
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
Approval for Undertaking of Derivatives Business
Approval of Auditors in the Capital Market