investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Securities in jurisdictions which are signatories to the MOU, in order to foster ASEAN capital markets integration. Under the proposed Framework, the review process for a multi-jurisdiction offering of Equity
CIS Operator must submit a completed Form 35 – ARFP CIS in hard copies accompanied by all supporting documentation as specified in Form 35 – ARFP CIS to the SEC Thailand for the ARFP Passport Fund
Operator must submit a completed Form 35 – NRI CIS in hard copies accompanied by all supporting documentation as specified in Form 35 – NRI CIS to the SEC Thailand for the ASEAN NRI CIS. 2. ASEAN CIS
upon approval as an ARFP fund and host jurisdiction authorization. Under the ARFP framework, efforts are made to unify the mutual entry processes for funds that are managed in accordance with the ARFP
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and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
: President The Stock Exchange of Thailand Global Service Center Public Company Limited (“the Company”) would like to inform that the Company has already disclosed financial statements for the year ended 31