violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

characteristics and risks of the products, as well as to warn about relevant risks;        (2.2)  To provide a knowledge test for investors regarding NC bond that mature upon company dissolution, prior to their

into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

value of Baht 1,000 each, totaling Baht 1,500 million. The debentures will be mature on August 21, 2018. The coupon rate is 4.5% per annum. The objectives of issuing the debentures are a) investment in

of 3(year debentures with a par value of Baht 1,000 each, totaling Baht 1,500 million. The debentures will be mature on August 21, 2018. The coupon rate is 4.5% per annum. The objectives of issuing the

Limited 2.65 ) 3.4 On August 28, 2014, the Company issued and offered 1,500,000 units of 3)year debentures with a par value of Baht 1,000 each, totaling Baht 1,500 million. The debentures will be mature on

-year debentures with a par value of Baht 1,000 each, totaling Baht 1,500 million. The debentures will be mature on August 21, 2018. The coupon rate is 4.5% per annum. The objectives of issuing the

the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are

Baht 1,000 each, totaling Baht 1,500 million. The debentures will be mature on August 21, 2018. The coupon rate is 4.5% per annum. The objectives of issuing the debentures are a) investment in the new