, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Capital Market Supervisory Board issues the following regulations
, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Capital Market Supervisory Board issues the following regulations: Clause 1
approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
securities companies for specified periods, with the following details: (1) Pasita shall pay a civil penalty, a compensation in the amount equal to the benefits received and a reimbursement of investigative
executive in securities issuing companies or securities companies for specified periods, with the following details: (1) Penprapa shall pay a civil fine, a compensation in the amount equal to the benefit
, with the following key points: (1) Revising the requirements for business operators unable to maintain net capital: Prescribing requirements in order, starting with suspending services of specific
suspension period ends in two years, five months and seven days. In considering the appropriate administrative sanction, the SEC takes into account the following factors: the involvement and behavior of the
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into
, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds dated 17 December 2015, the SEC Office hereby issues the following regulations: Clause 1 This Notification