decisions for investors. Following a referral from Maybank Kim Eng Securities (Thailand) Plc., the SEC?s further inspection has revealed that Panita, who was an employee of Maybank Kim Eng Securities
.” Ms. Jomkwan Kongsakul, CMDF Vice Chairman revealed that, “CMDF’s allocation of resources to support capital market infrastructure development is one of the core missions of the Fund. The funding for
information was disclosed to the public through the SET Information Transmission System on 30 May 2016. The SEC investigation also revealed that (7) Mr. Anurag Baheti, Senior Manager of PTL Finance and
business operators under SEC’s supervision conducted in March 2022 revealed that business operators are active about personal data protection; more than 90 percent of them have already proceeded in
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
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
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