investors). The SEC has therefore amended the relevant regulations for Vayupak Fund, as requested by the Vayupak Fund Office and the responsible asset management company, with the key points as follows
; (2) Exemptions from reporting for directors or executives who are spouses or cohabitating partners in the same listed company, if one of them has already submit the reports to the SEC. This shall
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
employers. On 29 April 2020, Finance Minister Uttama Savanayana issued the Notification of the Finance Ministry concerning Determination of Business Types, Duration and Conditions for Employees or Employers
services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation
Microsoft Word - E-0045 (Translation) No. CK-17-0000-PO-L-0045 August 29, 2017 Re: Notification of Resolution of the Board of Directors) Meeting No. 4/2017 Attn.: President of the Stock Exchange of
orders as well as incompletely prepared such documents as determined by the company. Thus, the SEC publicly disclosed her inappropriate behavior and recorded such behavior for future reference if breach
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market investment consultant of the company, had been authorized by her client to make securities and