AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital
AEC Securities Public Company Limited Between December 28, 2018 and May 25, 2020, AEC Securities Public Company Limited, as a securities and derivatives broker, failed to maintain net capital in
Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC
Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain
comprehensive cyber security and IT capabilities 12 Performing Talent and Agile Organization: Developing employee potential in the drive towards an agile organization Modern World-Class Technology Capability
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the