Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore
information useful for making prudent decision before using investment services, the SEC has prepared a list of unlicensed or unregistered business from the traces and complaints received from investors and
With reference to a public hearing on the proposed revision to the IT Standard conducted between 14 June and 15 July 2024, the SEC received a wide range of valuable responses from stakeholders. The
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
December 2015 at 8.50 - 8.90 baht per unit. After the property fund was dissolved, the unitholders received an average return of 10.69 baht per unit. Group 2: Eakarat, the foreign fund
. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs/3890pe.doc
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9
reference. Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9 and