as the capital market system. The revised regulations will become effective by October 2014.
Surya Kiran Investments Pte. Ltd. Surya Kiran Investments Pte. Ltd. (“SKI”) failed to comply with the regulations as specified by the Capital Market Supervisory Board by reporting the preliminary
(Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 28 August 2020.. However, Mr. Lertchai failed to prepared and disclosed the
in securities holdings (Form 59) in accordance with the SEC’s regulations, as his spouse had conducted a transaction involving ARROW securities on 7 July 2020. However, Mr. Tanon failed to prepared
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in
- Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws
of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the intermediary or the