SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months
professional standards arranged by the association or the training institute within the past two years prior to the application date. If the person has passed the course for more than two years as of the
of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a term of two to five years and a fine of 200,000 to 500,000 baht and a further daily fine not exceeding 10,000 baht for every
statements on a regular basis. This is to ascertain that the financial reporting is prepared in accordance with financial reporting standards and properly disclosed. In 2017, the SEC mandated two listed
- 19 - their system of quality control. Nonetheless, out of three inspection result of audit firms that are yet to be in the capital market, two didn’t pass the quality inspection; because both audit
กองทุนเปิดเค ตราสารหน้ีต่างประเทศ 6 เดือน GO 77 ขอ้ผกูพนัระหว่างผูถื้อหน่วยลงทุนกบับริษทัหลกัทรพัยจ์ดัการกองทุนกสิกรไทย จ ากดั 1. บริษทัจดัการ : ช่ือ : บริษัท หลกัทรพัยจ์ดัการกองทุนกสิกรไทย จ ากดั
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
million Baht from the investment made by two investors, namely Apollo Asia Sprint Holding Company Limited and Goldman Sachs Investments Holdings (Asia) Limited in two subsidiaries which were Pace Project