Bangkok, December 1, 2014 ? The SEC revealed its 2015 strategic plan focusing on six key developments with the aim of enhancing the integrity and resiliency of Thai capital market, promoting the Thai
According to case referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during the months of January – March 2017, the nine individuals
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC
transaction and required to be approved by the Board of Directors and revealed to the Stock Exchange of Thailand. 7. Interested Director The Company’s director; namely Mr. Visith Leelasithorn and Mr. Nipon
. Yadapat Chinkrajangkit. The SEC investigation of the evidence has revealed that during September 2014 ? August 2016 the aforesaid persons jointly acted or conspired with or allowed or rendered assistance
period of time as specified by the Office except transaction for non-retail fund and country fund. (1) Transaction with related persons directly which including trading of securities or other assets via
form and reveal with the procedures including period of time as specified by the Office except transaction for non-retail fund and country fund. (1) Transaction with related persons directly which
information in the form and reveal with the procedures including period of time as specified by the Office except transaction for non-retail fund and country fund. (1) Transaction with related persons directly
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer