program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement
Exchange Commission No. SorThor. 8/2549 Re: Report Forms of Securities Companies (No. 3) dated 31 March 2006. (Translation) - 2 - with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor
).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or
million baht. Following the Stock Exchange of Thailand (SET)'s report on the irregular trading of RS shares due to a particular group of people, the SEC probed into the case and found that during
million baht. Following the Stock Exchange of Thailand (SET)?s report on the irregular trading of RS shares due to a particular group of people, the SEC probed into the case and found that during
, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
Securities and Exchange Commission Notification of the Office of Securities and Exchange Commission No. SorThor. 55/2546 Re: Report Forms of Securities Companies _____________ By virtue of Section 109 of the
Securities and Exchange Commission governing custody of clients’ assets by securities companies, shall prepare and file this report with the Office on a monthly basis through Form Bor.Lor. 8 as attached to
into Material Transactions Deemed as Acquisition or Disposal of Assets, and the Notification of the Board of Governors of the Stock Exchange of Thailand Re: Disclosure of Information and Other Acts of
February 22, 2018 SET-18-AC-001 Dear The President The Stock Exchange of Thailand Subject: Clarification of Result’s Operation for the year ended 31 December 2017 According to the resolution of BKD’s