to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A
April 2019, the National Council for Peace and Order (“NCPO”) has released the order NO. 4/2562 in subject of a measure to solve the problems of the operations of the Television and Telecommunication. On
failed to solve its deficiencies. Therefore, at its meeting on 21 February 2024, the SEC Board passed the following resolutions: (1) By virtue of Section 35, Paragraph 2, of the Digital
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
collectively and appropriately with other investors and stakeholders in case the investee companies ignore or fail to solve problems even after the monitoring has been escalated to stress the level of concerns
complete qualifcations as specified, the Office shall propose the case for the Securities and Exchange Commision to consider granting the license, in which case the Securities and Exchange Commission shall
issuer. Clause 5/1 In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and complete qualifcations as specified, the Office shall propose the case