circumstance, many audit firms in the capital market tend to postpone nomination of persons to apply for approval as auditor in the capital market, which may cause the number of auditors in the capital market
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Type of securities : Common share | Effective Date : 14/11/2005 | Close Selling Date : 17/11/2005
Reporting Person : - | Type of securities : - | Date of reporting obligation : 12/10/2010
Reporting Person : - | Type of securities : - | Date of reporting obligation : 30/06/2011
Reporting Person : - | Type of securities : - | Date of reporting obligation : 31/08/2012