the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
Based on a third-party report and the SEC’s further investigation, it has been found that in 2017 Mr. Chiyachantana (Chairman and Chief Executive Officer of WORLD at the time of the offense
surveillance. As a result, the Thai BDC is expected to increase its role in market surveillance and to develop the electronic trading platform to accommodate the Thai debt instrument marketûs future growth
alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in its capacity as a firm and fair regulator, assure integrity of the marketplace, intermediaries and
ADAM to fraudulently acquire Kitha Properties to be a subsidiary of ADAM by purchasing the total amount of Kitha Properties’ ordinary shares in 2014, although they have already known that Kitha
one of SEC’s missions to help SMEs and Startups to easily access funding sources in capital market. Specifically, the SMEs’ and Startups’ fundraisings need to be economical, suit the business needs
This regulatory guillotine discussion is the first in the virtual talk series under the theme, “How to Regulate to Earn Investor Confidence and Global Competitiveness.” The main objective is to
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
required to have either a paid-up registered capital with shareholders? equities not less than 20 million baht or have profit or retain earnings in the latest fiscal financial statements. Qualified business