subject to pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering
, 2013 on their impression in information, activity and service offered by the booths, the ?SEC Investment Academy?, a source of knowledge for new investors, drew most votes for ?The Best Information Booth
in various activity zones. To begin with, investment product zone introduces the capital market products including equities, debt securities, mutual funds, LTF/RMF, real estate investment trust (REIT
ใหม่” โดยนายเศรษฐพงษ์ ลีเลิศพงษ์ เจ้าหน้าที่บริหารอาวุโส ฝ่ายพัฒนาและส่งเสริมความรู้ตลาดทุน, กิจกรรม Mini-Activity : Catch Me If You Can ที่ให้ความรู้ด้านการระวังภัยกลโกง การหลอกลงทุนจากมิจฉาชีพในรูปแบบ
the extent applicable to the offering procedure: 1. The time period during which the offer will be open, and where and to whom purchase or subscription applications shall be addressed. Describe whether
https://publish.sec.or.th/nrs/3872se.pdf .... the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment