Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board
Problems ; (2) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc Translation appointment of a fund manager who makes
The SEC has initiated an issuance of a notification stipulating rules, conditions and procedures for collecting, disposing, and distributing REIT assets, based upon the Notification of the Capital
Matching Maximize Solution Plc (the Company) No 12/2562 on December 23, 2019 passed the following resolution. 1) Approval of the capital decrease at Timelapse Co. Ltd (“TL”) (the subsidiary) Registered
=searchcontent_th~5^10000&ps=2&mm=100&qf=title_th_default&fq=key_filetype%3Adoc&start=10&rows=10 11 - 20 of 113 results Sort by: Relevance Date (Newest) Date (Oldest) 6121pe.doc Notification of the Capital Market
; (2) In the case of Mr. Pattarawut Thunyajaroen, it was found that he had falsified documents for the redemption of investment units, forged deposit account passbooks by use of the IDs of other bank
a company in a client’s trading account by asking the client to sell the shares and transfer the redemption money into her own deposit account. She claimed that she would use the money to invest in
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital