accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC

projects of the Regulatory Guillotine scheme is scheduled to complete within the period of 2020-2021. The examples of pilot projects are as follows:1. Project to develop paperless processes for submission to

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

Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he

, totaling Baht 35,000,000, equivalent to 6.40 percent of the registered and paid-up capital All of them are corporate and individual investors with a stable financial position who are able to invest in the

market conduct management to ensure that customers receive fair service and treatment with complete and accurate information about products and services and align with good market conduct practice. 2.2

derivatives in accordance with the latest financial statements audited by auditor; (2) individual when combining with spouse having any of the following characteristics: (a) having net asset value not less than

plans for each measure, as follows:        Quality Demand: (1) Cultivate long-term investment culture through individual investment accounts to enable investors to convert their savings into long-term

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature