Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies. The current rules require both the issuers as well as all affiliates that engage in the main bus...
แบบรับทราบความเสี่ยง (Structure Note)
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Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
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to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was