Mr. Narong Puangpong Mr. Narong Puangpong failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint
Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
deliver documents along with other evidence to the competent officer by September 13, 2004. Mr. Thirachai Phuvanatnaranubala, SEC Secretary-General, said that ?The SEC is now in the process of
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
) ordering him to testify and deliver documents and other evidence to the competent officer by September 13, 2004. Consequently, Mr. Anchanbutr did appear for the testimony. The competent officer requested
obtain Investment Advisor or Derivatives Advisor licenses. However, those eligible to provide advice to retail investors must be screened by local securities firms as being competent and reliable foreign
Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities have issued guidelines to set out the procedures
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in