and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
The Securities and Exchange Commission (SEC), led by Mrs. Pornanong Budsaratragoon, Secretary-General, along with SEC executives, made a financial contribution to the Thai Red Cross Society to assist
") Volunteers Foundation Network of Communities for Disaster Alerts and Warnings Project. The aim is to actively assist communities in sustainable water management and enhance the efficiency of disaster
execution of transactions as per client’s orders and provided an SEC Hotline 1207 press 8 for Zipmex-related information and complaints in particular, to assist those affected investors.Once the Court accepts
stated that “This seminar is the first event where SEC had the opportunity to meet with industrial SMEs, after SEC and the Department of Industrial Promotion signed a memorandum of cooperation to assist
account between April 1, 2016 - May 4, 2016 and involves in transaction to buy PTL shares in order to assist Polyplex Corporation Limited (“PCL”), Mr. Pranay Gothati, Executive Director and representative
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm