exchange issued by commercial banks having credit rating not lower than investment grade, providing that support rating will also be allowed.The revised regulations will clearly determine responsibility of
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
financial products and investment alternatives.Infrastructure trust, having structural similarity to real estate investment trust (REIT), will be allowed to invest in overseas infrastructures in forms of
violation of Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The above persons, named in the criminal complaint filed by the SEC, are deemed as having untrustworthy
. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month
investment decision making. The program approval suits the issuer making several offers for sale of debt securities in the proximate period and allows the issuer to make such offer when having financial need
which turned ESTAR from having approximately operating loss of 51 million baht to a net profit over 140 million baht in 2013. Such non-public information material to the change of ESTAR share price was
listed company has not yet disclosed non-public information material to the change of securities price, any directors having accessed to such information must refrain themselves from trading the company?s