upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for
reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. Mr.Kitisan Mookdee failed to comply with the order of the Settlement Committee, the SEC
comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective Operation and Business
, 2012 to the SET and the SEC Office on March 1, 2013. The financial statements did not comply with the Financial Reporting Standard No. 3 (Revised 2552) Business Combinations. The rectified financial
, 2013 to the Stock Exchange of Thailand (the SET) and the SEC Office on May 15, 2013. The financial statements did not comply with the Financial Reporting Standard No. 3 (Revised 2552) Business
MFC Asset Management Public Company Limited On July 1, 2019 and May 29, 2019, MFC Asset Management Public Company Limited, a fund management company, failed to comply with the rules, conditions, and
MFC Asset Management Public Company Limited Between January 8, 2018 and July 24, 2020, MFC Asset Management Public Company Limited, a fund management company, failed to comply with the rules