, securities financing, securities dealing or securities underwriting which is not limited to debt instruments, but not including any company licensed to undertake securities business in the category of
in the category of securities brokerage, securities financing, securities dealing or securities underwriting which is not limited to debt instruments, but not including any company licensed to
=system_name%3AEnforcement&start=0&rows=10 1 - 10 of 39 results Sort by: Relevance Date (Newest) Date (Oldest) Settlement Committee Order No. 1/2023 Dated 24/04/2023 Zipmex Company Limited During September 15
&start=0&rows=10 1 - 10 of 39 results Sort by: Relevance Date (Newest) Date (Oldest) Settlement Committee Order No. 1/2023 Dated 24/04/2023 Zipmex Company Limited During September 15, 2021, to May 7, 2022
Polaris Capital Public Company Limited When Polaris Capital Public Company Limited ("POLAR"), which was authorized by Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay, had the duty to
restructured before any merger and acquisition. In the case of investments in shares of public limited companies, the filing of the registration statement and draft prospectus will be exempted. In the case of
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the