by each underwriter. (2) The 81-1 Short-Form report of the shares offering results must be submitted at least two business days before the first trading day or within 30 days after the offering
underwriting will also be revised in responsive to current circumstances. The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments
duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
, gave her personal saving account to {B} to amend the name stated on the account to be the client's. It was also found that Panadda had signed an application to open a securities trading account with a
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
the mining property rights of EARTH. Besides, the reasonableness of the value assessment based on the hypothesis that the two mines could be operated within this year or next year was doubtful with a
petition will be submitted to the Court seeking an order of a 2-million-baht civil penalty on each offender or 6 million baht in total in addition to the reimbursement of 102,132 baht for the investigative
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business