On 8 November 2019, SEC booth, with SEC Deputy Secretary-General Paralee Sukonthaman and SEC’s executives, welcomed the Industry Minister Uttama Savanayana who was visiting the SEC booth at the

, class 14, Office of Justice Affairs, consisting of executives from agencies in the justice system, relevant agencies, and the private sector executives. SEC executives also delivered lecture aiming to

Exemption for Preparation and Disclosure of Securities Holding of Executives of Financial Institution Closed by the Financial Institution Reform Committee Order

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

EMM Consulting Company Limited EMM Consulting Company Limited ("EMM"), represented by company directors Mr. Alan Sydney Roy Lane and Miss Ratanaporn Aoonta, had not been licensed to operate

for its operations, is liable for the case in which BLS had inadequate supervisory controls over investments held as assets of its executives, resulting in insufficient safeguards against conflicts of

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

, administrative, and others expenses was 19.77 million Baht, increased 5.89 million Baht or 42.44% from the same period last year due to the increased legal & other consulting fees. In addition, the company has

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

Bangkok, March 21, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against EMM Consulting Co., Ltd., Alan Sydney Roy