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://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/SECONDARYMARKET.aspx English (United States) SecondaryMarket . Securities Registrar Provides service in preparing and maintaining the register book of securities
. The new digital platform also covers clearing and settlement, register of instrument holders, custody of instruments, and payment of interest or dividends.“The pilot project will be conducted on
Commission (OIC) as well as register with and obtain license from OIC. To prevent avoidance of regulations on public offering of securities, life-insurance company must select ESOP participants by taking into
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms