Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
e-service Online Submission Private Fund >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorNor. 22/2552
Exchange Commission Governing Undertaking of Other Business of Securities Companies B.E. 2552 (2009) ___________________ Whereas Section 98(8) of the Securities and Exchange Act B.E. 2535 (1992) as amended
Ms. Jomkwan Kongsakul, Deputy Secretary-General of the Securities and Exchange Commission (SEC), participated in a meeting with Mr. Varavongsa Ramangkura, Vice Minister of Commerce; Ms. Nusara
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), gave a special lecture on the topic, “Financial Innovation and the Digital Capital Market,” to the
Globalview Consulting Co.,Ltd. Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by
advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535