securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
Bangkok, December 28, 2010 ? The SEC today filed a criminal complaint with the Department of Special Investigation against persons involved in the manipulation of shares of three companies, i.e
maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7
fund) instead of the whole master fund. This policy-based calculation will also apply to investment in assets of the employer and companies in its group; (2) Investment in units of mutual fund
Bangkok, January 20, 2011 ? The SEC regulations on establishment and management of infrastructure fund have become effective since January 16, 2011. Asset management companies and the investing
companies they work for. ________________ *Violation of Clause 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Business
Investment Management Companies and Chief Executive Officer of BBL Asset Management Co.,Ltd., Win Udomrachtavanich, Chief of Executive Officer of One Asset Management Co., Ltd., and Kris Chantanotoke
raise awareness among employers, both in public and private sectors.In designing the Project, the SEC worked with the Thai Listed Companies Association and agreed that promotion of financial literacy in
value to deceive any persons about financial condition and performance of the companies. The said persons were (1) {A}, GSTEL director and executive & GJS director, (2) {B}, GSTEL executive, (3) {C