Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of Section 14 and the second paragraph of Section
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
which was reviewed by the authorized auditor of PricewaterhouseCooper ABAS Co.,Ltd. and approved by the Board of Directors of the Company on meeting No.4/2017 held on November 8, 2017 and also clarify the
audited by the authorized auditor of PricewaterhouseCooper ABAS Co.,Ltd. and approved by the Board of Directors of the Company on meeting No.1/2018 held on February 14, 2018 and also clarify the change of
reviewed by the authorized auditor of PricewaterhouseCooper ABAS Co.,Ltd. and approved by the Board of Directors of the Company on meeting No.3/2019 held on August 7, 2019 and also clarify the change of
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to