Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL'
Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
in ASEAN countries which are signatories to the Memorandum of Understanding ("MoU") to establish cross-border offering framework. Malaysia, Singapore and Thailand are expected to sign the MoU by the
auditor to do the special audit and showed no sign of progress. The SEC, therefore, will not extend deadline for THL?s special audit submission and will later take legal action against THL and responsible
Holding, causing damage to both companies. Additionally, Mr. Somchai, authorized to sign for money withdrawal on behalf of the company, misappropriated B30 million which had disappeared from SECC Holding’s
Ms. Mutita Nilsawad Ms. Mutita Nilsawad, an assistant managing director for marketing and public relations of S.E.C. Auto Sales and Services Plc. (SECC) with the power to sign company check or
Plc. (SECC) with the power to sign company check or withdrawal slip, failed to make proper verification before he jointly co-signed company payment checks or withdrawal slips in advance with another
Business for Licensed Derivatives Brokers dated 3 August 2009; (18) The Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553 Re: Rules on Undertaking of Derivatives Business for Licensed
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other