: (1) In the case of Miss Surasa Mungthaworn, the SEC revoked the approval as investment consultant and will not accept her future application for approval as personnel in the capital market business
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
Systems System Development -AEON System is 90% owned by AFS -AEON System is 3.3% owned by AEONTS General characteristics of transactions: With reference to the Minutes of the Board of Directors Meeting No.8
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Office of the Securities and Exchange Commission No. SorChor. 29/2555 Re: Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct ___________________________________ With
amended regulations in this matter have come into force since 16 July 2021. The AIMC is responsible for issuing relevant rules under the SEC’s approval, as part of the investor protection mechanism. If
securities firms or derivatives business operators can be done without the SEC?s approval but will be allowed to the extent that it is deemed necessary to increase business efficiency. Importantly, outsourcing
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
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://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 63/2023 Dated 21/06/2023 ") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed