complex 2**) and specified a period during which his resubmission for an application for an approval as a capital market business personnel would not be accepted for a period of 10 years, effective from 4
made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted
conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those
on August 17, 2017, approving for submission of the final offer to make a bid for 30 MW solar farms. In the event of the final offer is accepted by the Seller, the Board also approved for negotiation
/2024: Request for the court to indicate provisional measures. Both cases were accepted by the Court and a hearing for petition on temporary protection was scheduled on May 27, 2024. Furthermore, on
prosecutor’s prosecution, and the court’s adjudication, respectively. “The DSI has accepted this matter as a special case, and the ECD, which has been working with the SEC since the beginning, has been
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
the six short-to-medium term focus areas identified in the Roadmap for ASEAN Sustainable Capital Markets (“Roadmap”). The meeting also accepted the provision of technical assistance from the Asian
implements good governance, is accepted by its members, and is able to bring about the growth of their investment that would lead to sufficient retirement income for their employees. The management model of
Department accepted on 13 May 2018. Earlier, the Department dismissed IFEC request to have Mr. Theetiphan Thepphadungporn registered as a new director.Having only three directors on the board is insufficient