through effective capital management and creation of a culture of risk awareness organization-wide, to enable us to cope with possible economic fluctuations in a timely manner. B Being aligned with our
Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
the words “Provident Fund” and followed by the words “which has been registered”; (2) the location of office; (3) the objectives; (4) the procedures for admission of members and termination of
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been 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
Period As Of Details XSPRING CAPITAL PUBLIC COMPANY LIMITED 2023 Reviewed Company Q2 30/06/2023 XSPRING CAPITAL PUBLIC COMPANY LIMITED 2023 Reviewed Consolidated Q2 30/06/2023 XSPRING CAPITAL PUBLIC
Of Details CAPITAL NOMURA SECURITIES PUBLIC COMPANY LIMITED 2013 Audited Company Year 29/12/2013 CAPITAL NOMURA SECURITIES PUBLIC COMPANY LIMITED 2013 Reviewed Company Q3 28/09/2013 CAPITAL NOMURA