receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding or payment in installments. As for the derivatives
creditor or the securities depository center and other receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding
2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
(urgent case), effective since 11 March 2019. The SEC views that since IFEC Board of Directors is now eligible to form a quorum, the company should be able to proceed and seek solutions for the pending
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client’s [pending] order for trading or engaging in a