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procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016. SEC Act S.56 and 199
Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q1 year 2020. Later, TTCL submitted the rectified financial statement for Q1 year on 28 February
”) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. SEC Act S.56(3)(4) Settlement Committee Meeting No. 1
which is the period specified by the Notification of the Capital Market Supervisory Board. However, the financial statement and key financial ratio for year 2023 was later submitted on 5 April 2023
transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56
the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act