Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
registration as a public listed company in the Market of Alternative Investment (mai) 2. To approve the change in par value and number of shares of CAZ (Thailand) Co., Ltd. as follow; Items Before changing par
Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16
announced at the ASEAN Audit Regulators Group (AARG)'s 5th annual Audit Inspection Workshop held in Kuala Lumpur from 21 to 22 February 2017. The Workshop also saw AARG embark for the first time, on a long
investors’ rights in alignment with the changing capital market ecosystem. The discussion included strengthening trust and confidence in the Thai capital market through the pursuit of class action lawsuits
securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the
COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the