Market Supervisory Board.* The SEC has therefore revoked her approval as investment consultant for complex instruments type 2** and imposed a ban on accepting any future applications for approval as
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market environment. While digital asset businesses are innovative and constantly related to technological advancement and financial innovation, SEC continues to promote the optimal use of digital assets
หัวข้อ “Gender Diversity for a Fair Business Environment” โดยได้กล่าวถึงแนวทางการดำเนินการที่สำคัญของ ก.ล.ต. ในการส่งเสริมเรื่องความเท่าเทียมกันทางเพศ ซึ่งเป็นเป้าหมายหนึ่งของเป้าหมายการพัฒนาที่ยั่งยืนของ
Pursuant to the existing regulations that have been effective since 2004, listed companies are required to pay an annual fee for submission of the annual registration statement to the SEC. In this regard, the annual fee is calculated based on the shareholders’ equity presented in the financial statements for the latest accounting year that have been submitted to the SEC. In case of a listed company not submitting the latest annual financial statements within the specified period, the SEC will ca...
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signific...
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own account or the accounts of other parties involved as well as depositing certain amounts back into t...