. Additionally, the four persons colluded to act or consented to the recording of the false statements or the omission of material or related statements from the account or documents of NMG to deceive any persons
juristic offenders in eight cases and the total remittance of more than 50 million baht as public revenue. Mr. Somchai Pongpattanasin, SEC Assistant Secretary?General in charge of the Enforcement Division
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that
an investment account online. Starting from 9 November 2020, 6 securities companies and 4 asset management companies are ready to provide the online account opening service via NDID for customers
International Banks, the Thai Life Assurance Association, and investment unit selling agents. This is the first time that the single form will be used for opening an investment account for capital market products
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long
surplus to gain on sale of the assets presented in the income statement. The transfer was, however, not complied with the accounting standards stating that the revaluation surplus has to be transferred
and authorized director Mr. Arak Ratborihan on account of offering for sale of newly issued shares for a private placement without obtaining a prior approval from the SEC.According to the SEC's further
trading account to buy 9,000,000 ESTAR shares based on inside information he learnt as the CEO. Such information was about the company?s Q4/2013 performance with significant increase in revenue and profit