SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty
prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction
prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty
financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC
prepare and submit the reviewed financial statements for Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to
offering for sale newly issued securities in the category of debentures without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instruction or