Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
ที่ กบร No. Kor Bor Ror. 020/2018 November 13, 2018 President The Stock Exchange of Thailand Re : Clarification on the company’s over 20% change in its operating results for 3rd quarter, 2018 Dear
featured panel discussions for exchanging ideas and showcasing research projects, aiming to integrate academic findings into the formulation of regulatory and developmental policies for the capital market
Thai Fintech startups, research findings by SEC staff, researchers from academic institutions and relevant organizations, as well as insights from guest experts in the capital market. The event
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the
14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the
Microsoft Word - Eng-SET Q1-18 reviewed Ref: FASET 02/2561 May 11, 2018 Subject: Report the operating result for the first quarter ended March 31, 2018 To: President of the Stock Exchange of Thailand
the two languages, the Thai version shall prevail. The objective of this MD&A is to present the information and the explanation of financial status and operating results as of the date hereof. However