Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
Type of securities : Common share | Effective Date : 03/10/2022 | Close Selling Date : 07/10/2022
Company Profile - PTT OIL AND RETAIL BUSINESS PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:15 Company Profile PTT OIL AND RETAIL
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
SEC Secretary-General Ruenvadee Suwanmongkol stated on 17 September 2019 that SEC had a meeting with ASCO and the senior executives of every securities company and derivative contract business
market business personnel in the categories of investment consultant, investment planner, investment analyst, agricultural commodity trading management official, fund manager and derivatives investment