Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping

investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that are (1) failing to

Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform

Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information

Million Baht (losing per share 0.01 Baht) respectively due to the reason of: In the 2nd quarter of 2016 the company has recognized the doubtful debt expenses amount 159.95 Million Baht according to the

business operator must arrange sources of short-term finance to allow maintenance of NC, and with respect to the rules which allow the business operator failing to maintain NC to continue providing

with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is

with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to demonstrate that the investment decisions it made have been prudently