failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee
Bangkok, June 12, 2012 - The SEC today signed a Memorandum of Understanding (MOU) with the Financial Services Commission (FSC), the capital market regulator of the Republic of Korea (South Korea), to
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited to participate in a panel discussion on the topic “How Thailand’s Capital Market Can
Securities and Exchange Commission No. KorRor. 4/2558 Re: Determination regarding Types of Transactions in Capital Market Allowed to Use Form of Trust (No. 3) _____________________________ By virtue of Section
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
Ms. Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), joined the panel discussion on “Reshaping the Thai Capital Market towards Sustainable Growth
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited as a guest speaker to deliver a lecture on the topic “Capital Market and Investment
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re