Application for Approval and Granting of Approval for Offering of Newly Issued Shares
Rules on Application for Approval and Granting of Approval to Undertake Trust Business
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an
sanction on the capital market auditor in the Securities and Exchange Act and to repeal and replace the provisions on renewal of the approval of the capital market auditor every 5 years with a permanent
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
Approval for Undertaking of Derivatives Business (No. 2)
Approval for Undertaking of Derivatives Business (No. 3)
The Approval of Personnel in the Capital Market Business
Re: Rules, Conditions and Procedures for Approval of Securitization Projects