rules;  (3) Advertising, persuading or acting in any other manners to support the deposit taking and lending services under (1) and (2) of other service providers.  The consultation paper is available at

proportion in core business from the minimum of 75% of the total number of voting rights to that of 50%, strengthening investor protection by revising rules on holding company?s investment structure to ensure

provide investors with more variety of investment alternatives and increase experiences in overseas investment while the service provider is required to comply with rules and practices prescribed by the

, rules and regulations. The SEC therefore put him on probation, under the Point System, by recording and accumulating his demerits with four demerit points. The demerits will stay on the record for three

and fund supervisor as well as investment requirements.   The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the

information on related party transaction in the registration statement and thus mislead investors. Besides, they did not advise the applicant in order to comply with relevant rules and regulations, particularly

Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from

Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014.  The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

Bangkok, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses.  The proposed revision aims to facilitate and increase the