Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** An investment consultant for complex
working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that
client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered
In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
consultant for three months, which is counted as part of the five-year ban, SEC shall continue to ban her from re-entering the industry for another four years and nine months, starting from 15 January 2020
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital
Secretary-General, (7) Pakorn Peetathawatchai, President of the Stock Exchange of Thailand, (8) Chavinda Hanratanakool, Member of the Board of Director, the Federation of Thai Capital Market Organizations, (9
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมสัมมนาออนไลน์ หัวข้อ “The way forward for Southeast Asia – an ESG perspective” ซึ่งจัดขึ้นโดย