08/05/2006 16/05/2006 5. Notification of the Office of the Securities and Exchange Commission OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the person who is responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the
Mr. Apivut Thongkam Mr. Apivut Thongkam, chief executive officer for the operation of AQ Estate Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and submit the reviewed
Mr. Somporn Mangmee Mr. Somporn Mangmee, the chairman of the executive committee (acting) for the operation of PAE (Thailand) Public Company Limited (“PAE”), shall be liable for PAE’s failure to
Mr. Thaveechat Churanggool Between 22 March 2017 to 21 April 2017 Mr. Thaveechat Churanggool, failed to report to the SEC Office the acquisition of NOK Airlines Public Company Limited (“NOK