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คำที่มีความหมายหรือสะกดใกล้เคียง : record , reports , Records Alerts , Records Cautions , Documents Alerts

1 - 10 of 388 results

SEC sanctions four capital market personnel for incomplete trading order records

Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5315

SEC Thailand’s public hearing on proposed amendment to regulations regarding digital asset business operator’s records keeping.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=990

SEC issues a rule for information disclosure and risk warnings to clients of digital asset business operators

warnings to clients of DA operators* with the following salient features. (1) DA operators shall disclose the risks in relation to the appraisal of their financial status, storage of clients

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10552

SEC public hearing on draft regulations regarding information disclosure and risk warnings to clients of digital asset business operators

warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store their

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10296

SEC files a criminal complaint against seven KC executives and associates for dishonest acts, misappropriation of B/E sale money and consent to false accounting records

case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6914

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHATPONG WATANAJIRAJ Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000053387

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname น.ส. ชยุดา เจียรวนนท์ Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000084178

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. SIRIKHUN TRIWITTAYAKHUN Approval Type of approval Effective date Expiry date No records

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143471

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHANAKUNT CHAIWATTANAWASU Approval Type of approval Effective date Expiry date No records

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143473

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Miss ATIKAN NIMMANTERDWONG Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143474