trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
that would be beneficial to capital market business or consistent with its objectives upon permission from the SEC Board; and (3) Its governing body will consist of both ex-officio committee and
securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en
Commission No. SorJor. 44/2561 Re: A list of Crypto Currency specified by the SEC dated September 11, 2018 (Effective date of October 1, 2018) Related Forms Application for a permission for a public
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
) issuing and selling of Libra investment token (not Libra cryptocurrency). If the token will be offered in Thailand, a permission is required. However, this possibility is very low as those who are allowed
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the companies’ managements arising from lack of efficiency
No limitation of holdings: (1) Tax-exempted institutional investors operating as a Collective Investment Scheme (CIS) such as the Government Pension Fund, Social Security Fund, Provident Funds, and