Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
Board or the SEC Office or having not been correcting its financial status or operating result according to the order of such authorities; 6 (8) having not been ordered by the SEC Office to adjust the
(8) having not been ordered by the SEC Office to adjust the defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
of Shareholders No.1/2021 to electornic meeting (Adjust Template) 05/01/2021 18:27 Notification of the change of Meeting venue and change a method of convening the Extraordinary General of Shareholders
Rules on Establishment of Information Technology Systems, with the following key points: (1) To adjust the frequency of submitting IT audit reports to be appropriate for the risk level of small
stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management