Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging the clients’ handwriting, subscription orders and switch orders or unitholders’ account books...
novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation
(2018), the SEC Board has proposed that Minister of Finance consider revocation of the digital asset exchange license of Huobi. In addition, the SEC Board, by virtue of Section 35 Paragraph 2 of the
aforementioned assets. Moreover, the backgrounds surrounding NUSA’s petition for the Court’s revocation of the share swap contract with WEH shareholders remained unclear, with anticipated potential impacts on NUSA
Bangkok, 23 February 2024 – The Securities and Exchange Commission Board (SEC Board) has passed a resolution to recommend the revocation of digital asset business license of Zipmex Co., Ltd
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
paragraph one hereof shall submit a copy of letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such
letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such letter. Clause 7. This Notification shall
Microsoft Word - 5_SEC account AˆˆAI"@%4ˆ1 5_20211124 - kdraft V2.docx 1 Application for Cancellation of SEC Account Date: ……………………….. Attn: Secretary-General The Office of the Securities and