sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

Coindee Company Limited During March 1, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, did not have an appropriate and sufficient management

Shares to Specific Investors (Private Placement) at the Offering Price with a Discount of not more than ten percent of the Market Price 2. Capital Increase Report Form (F53-4) 3. Information Memorandum on

selling price due to limited export from China. The overall sales volume decreased, except for ECH, as a consequence of major turnaround in Q2’ 18. The share of domestic and export sales have no significant

overall selling price decrease, especially for Caustic Soda due to the fall of its market price trend, plus impact from appreciation of Thai Baht against US Dollar. However, those negative impacts were

which 19,282 MTHB earned from sales revenue. The sales revenue increased by 3,623 MTHB or 23% comparing to the year 2016. The increment mostly derived from higher selling price across all products

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information