granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
Yarnapund Public Company Limited Yarnapund Public Company Limited failed to prepare and submit the reviewed financial statements for Q2/2013 to the SEC and the SET within the specified period. The
specified period. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of limitations ran out. SEC Act S.56(1) in
the year 2014(Form 56-1, 2014) and the financial statements for Q1/2015 to the SEC and the SET within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act
reviewed financial statements for Q1-Q3/2017 within the period specified by the Capital Market Supervisory Board. The statute of limitations ran out. SEC Act S.300 in conjunction with 56(1) Criminal
to prepare the reviewed financial statements for Q1/2017, Q2/2017 and Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. SEC Act S.300