Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
อิเล็กทรอนิกส์ เช่น ปรับปรุงนิยามของผู้ส่งข้อมูลให้ครอบคลุมผู้มีหน้าที่ส่งข้อมูล และผู้มีหน้าที่อื่น ๆ ซึ่งเกี่ยวข้องในกระบวนการทางอิเล็กทรอนิกส์ ไม่ว่าจะเป็นบัญชีผู้ใช้งานสำหรับนิติบุคคลหรือคณะบุคคล (company
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
apply to domestic offerings of bonds denominated in baht and foreign currencies and offshore offerings in line with those governing offerings by limited company and public limited company. Public sector
; (2) Determining the approval application fee for an appraisal company to be 50,000 baht and for a lead appraiser to be 10,000 baht per 5 years, instead of per 2 years at present, resulting in
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
characteristics, bills deemed as securities mean: (1) bills of exchange and promissory notes payable or issued by a company and given to the creditor or the buyer as evidence of rights under the bills. Additionally
(Thailand) Public Company Limited (CHUO) to cooperate with its auditor regarding the auditing of the company’s financial statements for the first three quarters of 2016. The company must also submit to the
/ActandRoyalEnactment/Act/translate-digital.docx complaint-form-general-en.docx / derivatives / digital asset intermediaries e.g. securities company/broker, asset management company and digital asset exchange; · approved
management company may request a relaxation on the following matters: (1) Appointment of fund managers as approved by the SEC. (2) Preparation of and submission to the SEC a report on fund managers' starting