Earlier, Mr. Suphanan acting on behalf of IFEC sent a letter requesting the DBD to reveiw its order denying the registration of Mr. Wiphu Maharakkhaka and Mr. Manusak Deawwanich on IFEC directors’ list and then may exercise the right to appeal such DBD’s decision.According to Section 42 of the Administrative Procedure Act B.E. 2539 (1996), an administrative order shall be effective since the person concerned is notified and shall remain in effect until it is revoked or invalid for other re...
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
directed TIES to rectify its 2014 financial statements due to the auditor?s qualified opinion in relation to the construction cost reports for construction contracts not prepared in accordance with its
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
accessibility. A concerted effort was also directed towards elevating investor awareness and education in the realm of bond investment. The overarching aim was to strengthen the credibility of the Thai bond
statements. Accordingly, TIES must submit to the SEC and publicly disclose the financial statements, urgently. Earlier, the SEC had directed TIES to rectify its 2014 financial statements due to the auditor’s
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2014
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree