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
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
indicated by the SEC, otherwise, the SEC will conclude that the applicant does not intend to file the application. If the application form and supporting documents are complete and correct, the applicant is
conclude that the applicant does not intend to file the application. If the application form and supporting documents are complete and correct, the applicant is required to pay an application fee of Baht
funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to conclude the discussion and sign the MoU within the second quarter this year before cross-border offerings
notification of the Revenue Department’s Director-General.SEC Secretary-General Ruenvadee Suwanmongkol said that the SEC will (1) finalize the regulations establishing these funds by 16 March 2020, (2) waive
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
>> Project Area Complete by Retail Properties sq.m. NLA Qtr/Year Domestic - BMA Central Village 40,000 3/2019 Open Domestic - Provinces CentralPlaza Ayutthaya TBC 2020 Finalize development plan, construction
relevant technology element Identify and assess risks arising from IT Understand, identify, and test relevant ITGC Conclude on risks arising from IT and determine audit response Evaluate deficiencies in ITGC