, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one
matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for process according to the guideline to the SEC Office. The committee under the
characteristics in Group 3 under Clause 31, [ii] provide opinions to the SEC Office in any matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for
opinions to the SEC Office in any matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for process according to the guideline to the SEC
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to
by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the electronic work system of the SEC
guideline for the expiration of Small Power Producer (SPP) Cogeneration plants, by revising the expiration period to be during 2016-2018, in line with NEPC’s resolution on May 30th, 2016. The 25 Firm-SPP
| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency