, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
operations.The requirement to appoint independent directors, however, will not apply to certain cases; for example, securities and derivatives investment advisors due to their relatively small size and few staffs
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
bond issuers? experience sharing. The afternoon session will introduce ?the bond fair 2015? joined by financial advisors, bond underwriters and assets management companies seeking investment in new bond
e-service Online Submission See canceled document Derivatives Advisors >> Business Operation Rules Type Title Section See Document Status Notified Date Effective Date 1. Act The Derivatives Act
) Financial Projection of the Current Year (if any) : None (14) Pending Material Lawsuits or Claims : None (15) Interests and Connected Transactions : None (16) Responsibilities of the Company’s Board of
attach claims on the property of the convicted person to be fined and achieve the effects of law enforcement.SEC Secretary-General, Rapee Sucharitakul said: "Effective law enforcement is an important part