Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission hereby issues the following
Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt
other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt
Section 39 Section 48 and Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital
imposed on an asset price appraisal. Due to their deficiencies above, {X1} Securities and {A} are deemed to have contravened the Notification of the SEC Office concerning Granting of Approval for Financial
revealed to the public are liable to criminal sanctions. More severe penalties will be imposed in case the act is done with an aim to deceive investors or general public. The SEC thus urges executives and