worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being

FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern

financial products, either domestic or foreign issues will be drafted, rather than a rule-based one. Also, consideration on suitability of target investors will be addressed. The proposed rules govern

agencies bond Government agencies bo 30,800.00 1.Domestic Offering Domestic Offering 30,800.00 1 Thai Government agencies By Thai Govern 30,800.00 1.Short-term Debt Securities Short-term Public Offerings

submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement

. Rapee Sucharitakul, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the revision of regulations to govern qualifications of non-listed company issuers proposing

auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has