POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company?s
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
effects on transactions in the capital market and investor services. ________________________
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
ก.ล.ต. เปิดรับฟังความคิดเห็นร่างประกาศเกี่ยวกับหลักเกณฑ์การดำรงเงินกองทุนสภาพคล่องสุทธิ (Net Capital: NC) ของผู้ประกอบธุรกิจหลักทรัพย์และสัญญาซื้อขายล่วงหน้า
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