resolves clearly specifying offer price with an advance notice sent at least 14 days prior through SETLink, and the meeting notice contains all required particulars in compliance with the Notification of the
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
seek unfair personal gains all over again. In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening
under Clause 25 to clients within the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within
time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of the transaction
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) ( Digital Asset Business Law), the SEC sent a letter to