planner by the lead regulator in a country recognized by the SEC Office. − ✓ − − 6 Manager of a securities company undertaking derivatives business or person with the highest responsibility in the work unit
applicant for approval of trust manager is a company with the main business objective to act as the trust manager, its directors must meet the following criteria: (a) there shall be at least two directors who
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
สำคัญแสดงสิทธิ (Warrant) แบบเฉพาะเจาะจง (PP) : กรณีบริษัทจดทะเบียนในตลาดหลักทรัพย์ (Listed Company) การเสนอขายหุ้นราคาต่ำ (PO Placement) การเสนอขายหุ้นของบริษัทต่างประเทศในไทย การเสนอขายหุ้นซื้อคืนกรณี
Officer (CEO) may hold the position at only one company while director may hold the position at up to five companies, etc. This is to allow executives of intermediaries to allocate sufficient time to
Bangkok, 27 June 2019 – This is in reference to the SEC Office’s order imposed by virtue of Section 58(1) of the Securities and Exchange Act, for Energy Earth Public Company Limited (EARTH) to
corporate governance aspect.?Mongkol Leelatham, TIA Chairman said that ?AGM provides the opportunity for shareholders to meet with the company?s management and learn of the performance of the companies in
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of
executive) who trades company securities or derivatives while material information has not been disclosed publicly engages in insider trading. Likewise, any person who has a close relationship with an insider