Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder
manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise
นาย เฟรดดริค อีแอน แมคอินไทร์ ผู้บริหาร ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 0008/2557 ข้อ 31 วงเล็บ 2 เพิกถอน 30/09/2563 - 29/09/2571