According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the insurance company in charge. SEC has considered that Sarunya, whose license as life insurance...
Selling of Securities in Foreign Country by Securities Company Without Having Possession
by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are: (1) A juristic person having
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S
Mandawee Tour Co., Ltd. Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.33
category of shares (Private Placement) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No. 17/2019 Dated 20/11/2019