Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
/2015 and the postponement of meeting date, (2) amendment of record date and closing date for the right to attend EGM, (3) amendment of the issuance of transferable subscription right (TSR), (4) the
Bangkok, October 21, 2015 ? The SEC urges shareholders of Circuit Electronic Industries Public Co., Ltd. (CIRKIT) to thoroughly study the proposal to invest in non-performing loan (NPL) portfolio
fact nonexistent and could not be collected from the company’s clients. The four persons shared the roles in this regard to order a record of false income. In addition, the criteria for advertising sales
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
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
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities