Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Assets by Subsidiary of DOD Biotech Public Company Limited for the Purchase and Acceptance of Transfer of the Entire Business of BGP Spectrum Power Co., Ltd., and Establishment of Subsidiary, Classified as
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provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
used a client's account to transfer and keep the acquired shares. {C} obtained a discount from the purchase and profit from selling some PAO shares to his two clients and {E}, another investment
business operations in securities and derivatives; (3) Revising the client asset custody rules: Granting an exemption for a transfer of client assets by allowing a business operator to proceed without
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, collaborated with representatives from the Deposit Protection Agency (DPA) and the Bank of
securities issuance together with proper supervision, considering the practicality relating to electronic securities such as transfer and delivery, registry, and the use as collateral and its enforceability
Mr. Watcharachai Watcharatham Between 7 January 2015 to 24 March 2015, Mr. Watcharachai Watcharatham aided or abetted Mr. Werawat Changyoo by deposit, transfer and conduct financial transaction in Mr