According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the insurance company in charge. SEC has considered that Sarunya, whose license as life insurance...
ชื่อผู้ได้มา/จำหน่าย :?AVENUE ASIA INTERNATIONAL LIMITED AVENUE ASIA INVESTMENTS FUND, L.P. AVENUE ASIA SPECIAL SITUATIONS FUND II.L.P. AVENUE ASIA SPECIAL SITUATIONS FUN | ประเภทหลักทรัพย์ : หุ้น
Selling of Securities in Foreign Country by Securities Company Without Having Possession
debtor, or (b) any person who takes possession of the assets of such a debtor must inform an official receiver of information related to debts or assets of such a debtor within one month of having obtained
by default in related bonds, including subordinated perpetual bonds, and bonds issued by a company undergoing rehabilitation. ** Ultra-high net worth investors are: (1) A juristic person having
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S
Dimet (Siam) Public Company Limited. On 10 February, 2020, Dimet (Siam) Public Company Limited offer for sale newly issued securities in the category of shares (Private Placement) without having
Ronghui International Service Co., Ltd. Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC