Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
placement of 1,080 https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7922 SEC instructs NUSA to clarify its asset disposition plan and revocation of share swap contract with WEH shareholders Listed
characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same https://www.sec.or.th/EN/Documents
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8759 SEC instructs NUSA to clarify its asset disposition plan and revocation of share swap contract with WEH shareholders execution right of KPN Energy (Thailand) Co
%20Fundamental%20Factors.pdf possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the
’ digital assets to offset net capital required;(b) Specified details for added clarity on use of insurance policies;(c) Revocation of the provision concerning capital requirements for business operators
Board*. The SEC has therefore ordered a 10-year revocation of approval as a securities investment consultant. However, since the approval period has already ended, he is banned from re-entering as capital
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading