sectors. The amended rules specify that certain matters remain under the SEC supervision, including issuers? non-involvement in illegitimate businesses. The SEC, however, does not impose requirements

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr

KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr

trading accounts regularly, as prepared by the responsible securities companies, and not to fall for promises of guaranteed returns because investment in the capital market could either yield profits or

contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of

Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008), and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), which contain certain

. Capitalization and Indebtedness A statement of capitalization and indebtedness (distinguishing between guaranteed and non-guaranteed, and secured and unsecured, indebtedness) as of a date no earlier than 60 days

TSFC B/Es have been addressed.?Thirachai also assured investors that:  ?The financial position of other securities firms providing brokerage services as their core business remains strong. As of 27

as a requirement that the holders of a certain percentage of the debt securities have instructed the representative to take certain action. 1 “senior management” shall refer to the term of “executive