Transaction is classified as a Class 5 Connected Transaction, i.e., an offer of financial assistance, pursuant to the Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 Re: Rules on
a higher budget for this purpose. The transaction is concerned as acquisition of assets according to the Notification of the Capital Market Supervisory Board No. TorChor 20/2551 Re: Rules on Entering
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
deposit account which needed to be marked to market at the end of each quarter. We received payment from some customer in USD. - Profit for the period dropped 52% from 41.6 mil. baht to 20.1 mil. baht
accurate and updated records of clients’ assets; and (3) Seeking benefits from clients’ fiat money shall be prohibited except in the form of deposit with commercial bank(s). In this regard, digital asset
Managing Director-Finance and Accounting of POWER, to dishonestly violate his duties and act to obtain unlawful gains for himself and/or other persons by permitting the company to pay 45 million baht deposit
over the opening ceremony and delivered a keynote address on the topic, "Policies and Directions for the Development of the Thai Capital Market." On this occasion, SEC Chairman, Dr. Pichit Akrathit
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital