follows; (1) engaged in an act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board
นำส่งประกาศและซักซ้อมความเข้าใจเกี่ยวกับการปรับปรุงหลักเกณฑ์เกี่ยวกับการดำรงเงินกองทุน (on-going capital requirement) ของผู้ประกอบธุรกิจจัดการกองทุนและผู้ประกอบธุรกิจนายหน้าซื้อขายหน่วยลงทุน และ
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investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
March 2020. ______________________Notes: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
Ref. SorNor. 043/2017 August 10, 2017 To: President The Stock Exchange of Thailand Re: Notification on Business Restructuring, Change of Name and Capital Increase of the Subsidiaries Whereas, the
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities