Exchange Commission Kor Thor. 9/2556 Segregation and Management of Clients Assets In Case of Intermediary Being under Receivership by Court Order 18/10/2013 01/11/2013 Contact The Securities and
e-service Online Submission See canceled document Derivatives Agent >> Others Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Securities and Exchange
intermediary during the same suspension period. The SEC's inspection of these cases was proceeded with KBANK's cooperation. Since the incidents, KBANK has specified that only approved investment consultants are
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
interested parties are invited to submit comments via the SEC website or by email at hathaiphat@sec.or.th or ekarit@sec.or.th (for licensing of intermediary businesses) or at nopnol@sec.or.th, patima
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
website at: https://www.led.go.th/brd/efiling/ or call the Legal Execution Department at 0-2142-5201-13. For holders of four tranches of the bonds represented by the bondholder representative, further