intermediary during the same suspension period. The SEC's inspection of these cases was proceeded with KBANK's cooperation. Since the incidents, KBANK has specified that only approved investment consultants are
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
date to be specified in the notifying letter of the SEC Office. ________________________________
rebalance the customers’ portfolio to attain the customers’ goal subject to the specified framework. A business operator who is interested in providing the wealth advice service and qualified in accordance
responsibilities specified by their different missions. The MOU’s term is one year, starting from the signing date.
to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. The inside
information on trust?s financial status and operational result as specified by the provisions of law and in the similar manner as other securities issuers?, said SEC Secretary-General Vorapol Socatiyanurak
PE, while such PE must invest in government supported businesses under the specified conditions, which must be 1) technology-based business creating added value, 2) business that enhances
. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to
specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October