Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
companies to give trust investors adequate information. Trust managers will have the duty to prepare and disclose information relating to financial position and operating performance of the trusts. If they
of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A
Section 317 of the Securities and Exchange Act B.E. 2535: (1) the Commissioner-General, Royal Thai Police or the Deputy Commissioner in case where the Commissioner-General is unable to perform the duty of
Management?), failed to order or act his duty resulting in Asia Wealth Asset Management violation of section 113 of the Securities and Exchange Act B.E. 2535. Asia Wealth Asset Management failed to comply
Three Sixty Five Public Company Limited Three Sixty Five Public Company Limited, a securities issuer, has duty to prepare and submit the reviewed financial statements for Q1/2017 to the SEC Office