plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity
Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
bond ปจจุบัน: ไมไดกําหนดไว แนวทางแกไข: ใช ASEAN Debt Securities Disclosure Standards แบงออกเปน 2 กรณี ดังนี ้ - กรณกีารควบรวมกจิการภายใตการควบคุมเดียวกัน (under common control) ใหจดัทํางบการ
approved list of the SEC Office; (15) “fund supervisor” means the supervisor of a fund; (16)2 “common person group” means the persons with one or more of the following relationships: (a) spousal relationship
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
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HONGHIRAN Reporter Warrant 17/08/2022 320,000 0.43 Sale Link SAAM DEVELOPMENT PUBLIC COMPANY LIMITED (SAAM) Mr. MANUKITTI NITYASUDDHI Spouse / Cohabiting Couple (Mrs. Manawika Nitayasuth) Common Share 14/01