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Pursuant to the existing regulations that have been effective since 2004, listed companies are required to pay an annual fee for submission of the annual registration statement to the SEC. In this regard, the annual fee is calculated based on the shareholders’ equity presented in the financial statements for the latest accounting year that have been submitted to the SEC. In case of a listed company not submitting the latest annual financial statements within the specified period, the SEC will ca...
Order No. 4/2020 Dated 23/01/2020
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
/2020 Settlement Committee Order No. 16/2020 Dated 20/05/2020
. SEC Act S.56(2) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 23/2020 Dated 02/09/2020
Order No. 5/2020 Dated 23/01/2020
?), shall be liable, under section 283 of the Securities and Exchange Act B.E. 2535, to an offence of Bualuang Securities. The offence of Bualuang Securities is a result of an order or an act of Mr. Khophong
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 30/2020 Dated 18/11/2020