trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as

Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a

/> ในกรณีกำหนดราคาเสนอขาย DW ใน filing อาจกำหนดเป็นสูตรได้ แต่ก่อนวัน effective ต้องกำหนดราคาเป็นตัวเลขหรือช่วงราคาที่ชัดเจน หมายเหตุ :

comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as

as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of

and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system

failing to have a sufficient and effective system for executing securities transactions for the mutual fund, resulted of an act or failure to act which is a dulty required to be performed. SEC Act S

"Stable". RML acknowledged the downgrade credit rating result prior to the effective date of Filing Form but RML did not reveal this credit rating in Filing Form. 27/12/2021 agreed to comply

cancellation of SEC Account from the SEC Office, to be effective from .................................................. onwards. We acknowledge that the application for cancellation herein shall become