Bangkok, March 2, 2016 ? The SEC has filed two criminal complaints with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against 11 offenders on account of operating
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms
Bangkok, December 22, 2014 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Yuttana Lipirodkul for operating unlicensed securities
of the initiatives undertaken by the ACMF as part of the regional capital market integration plan endorsed by the ASEAN Finance Ministers in 2009.? The Framework enables fund managers operating in a
financial institutions established under Thai law or foreign financial institutions** operating in a manner equivalent to commercial banks under Thai law, or margin loans for securities trading).(2) In
, licenses or Contracts × IX. OPERATING AND FINANCIAL REVIEW AND PROSPECTS A. Operating Results ม.69 (7) ฐานะทางการเงิน การดําเนินงาน และขอมูลท่ี สําคัญของธุรกิจ B. Liquidity and Capital Resources × C. Trend
, Clause 37, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and