), Sunshine International Co., Ltd., Aqua Corporation Co., Ltd., and Mrs. Chompis Bunnag on October 27, 2010 is deemed incomplete under SEC regulation. This is because the tender offer does not include material

Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

ผ่านซ้ำอีกครั้ง / Retype password รหัสบัตรประจำตัวประชาชน / Identity card number (ตรงกับข้อฐานมูลบุคคลของ ก.ล.ต.) จดหมายอิเล็กทรอนิกส์ / E-Mail Address

a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner

of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their

1 No. 3/2020 November 25, 2019 Re: Notification on the subscription of the newly issued shares in Thai Identity Sugar Factory Company Limited, a subsidiary of the Company Attn: The President of the

procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring

submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement

Bitazza could know and verify the true identity of its customers, including acquiring adequate information for customers’ risk assessment. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting