with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and

Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made

Ms. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin at the Friends in Need (of “PA”) Fair 2023 in front of the

Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), received the Royal Commemorative Pin of the Friends in Need (of “PA

platforms and highlighted the SEC’s participation in World Investor Week 2024, which will take place from 21-27 October. The briefing took place on 9 October 2024, at the SEC Building.