committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors
Ms. Jittikarn Wongkampoo, Director of Corporate Communication Department, the Securities and Exchange Commission (SEC), engaged in a discussion on “Strengthening Collaboration against Scams for a
who have been engaged in the business before the effective date of the notification to comply with the capital requirements by maintaining the initial capital to no less than 5 million baht within two
Given the changing economic and business environments, listed companies are increasingly engaged in more diverse and complex transactions; however, the current rules may not cover – or in some cases
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
2014, the 24 individuals were engaged in the manipulation of MILL shares, which caused the trading activities of the shares to be inconsistent with normal market conditions. In summary, (1) Mr. Sittichai
relevant laws and regulations, activities relating to strategic intent with ability to communicate with all stakeholders. Level 2 ? Engaged: indicating intent to mitigate impact from business operation on