decisions for investors, while Nitchawan interfered with investors? assets by withdrawing and transferring securities of investors.Both offenders violated or failed to comply with the rules on capital market
more weight to practical rules and regulations developed from effective communication and understanding with all stakeholders. Rulemaking, however, will not be the only tool; other approaches are also
) and Bank of Thailand (BOT)? Making rules and regulations clearer for market participants? Improving shareholder redress, including through SEC enforcement? Finalizing convergence to International
) and Bank of Thailand (BOT)??Making rules and regulations clearer for market participants??Improving shareholder redress, including through SEC enforcement??Finalizing convergence to International
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
relating to the outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed
outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed guideline for the benefit
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the