paragraph of Section 281/2 in conjunction with Section 89/7 and Sections 307, 308, 311 and 313 of the Securities Exchange Act B.E. 2535 (1992) (SEA).His above actions caused NIPPON?s failure to record and
281/2 in conjunction with Section 89/7 and Sections 307, 308, 311 and 313 of the Securities Exchange Act B.E. 2535 (1992) (SEA).His above actions caused NIPPON's failure to record and prepare its
and shall be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damages to the company but
implementation and serve stakeholder needs better. Eventually, this would be beneficial to all market participants and the Thai capital market. Additional actions to be taken in the second half of this year aims
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
for investment in securities and derivatives. The said actions were done under the name ?Nateethong? through the web blog: URL http://nateethong.bloggang.com. Due to the fact that Yuttana was neither
specified in the Licensing Manual for the Public and that the submission of the cancellation of SEC Account is part of the actions according to the SEC Office’s Standard Procedures. The SEC Office is obliged
recent times, the SEC has streamlined the internal processes for greater efficiency and speed, resulting in tangible results. Since the beginning of this year, legal actions have been enforced in 15 cases
matters: (1) Granting a waiver from an event of default in the case where the company is unable to carry out the following actions: - Closing the bondholders' register at least 14 days before the