According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with
company of EforL. 3. General Characteristic of the Transaction The Company will subscribe newly share capital with existing shareholders proportionate of 43,649,997 shares or 50.17% of newly increase share
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
company, the company shall maintain either collateral or liquid asset or both with adequate value as prescribed by the Office, and calculate and report of maintaining collateral and liquid asset adequacy in
B.E. 2546. 3. General Characteristic of the Transactions and Details of the Acquired Assets 3.1 General Characteristic of the Transaction The Subsidiary shall purchase entire Leyland’s ordinary shares
accordance with the category or characteristic as notified by the Office. Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing for the purpose
the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in accordance with the category or characteristic as