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
, 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
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
, executives, sub-committee members, advisors, staff members, employees, or persons who work for derivatives clearing houses from unlawfully seeking benefits by using the information obtained during the
on Economic, Social and Cultural Rights (ICESCR) and Chairperson of Business and Human Rights (BHR) Working Group; Mr. Boongua Somnuk, Deputy Secretary-General of the National Human Rights
The SEC Board and the SET Governors met on 3 August 2023 to discuss and exchange perspectives as well as viewpoints in relation to cooperative working process between the two organizations with an
ก.ล.ต. ร่วมกับสถาบันการศึกษาและองค์กรชั้นนำ เชิญชวนนักวิชาการ นักศึกษา และผู้สนใจทั่วไป ร่วมส่งผลงานวิจัยทางด้านตลาดทุนเข้าร่วมประกวดในโครงการ ?SEC Working Papers Forum 2017? ชิงรางวัลกว่า 100,000