an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
- Translation - OSP 11/2018 25 December 2018 Subject: Investment through its indirect wholly-owned subsidiary in a beverage company Attention: President Stock Exchange of Thailand With reference to
Decree on Special Purpose Juristic Persons for Securitization The Trust for Transactions in Capital Market Act Ministerial Regulations / Notifications Ministerial Regulations - SEC Act Ministerial
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 24/2542 Re: Reporting of Information Disclosure of Bonds
which the Company is not required to comply with the Acquisition and Disposal of Assets Notifications. However, this transaction is the investment of 10% of the total paid-up capital of the asset, the
Notifications on Acquisition or Disposal, and deliver the notice to the shareholders within 21 days from the date on which the disclosure has been made to the Stock Exchange. 2 Consequently, the Company hereby