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
of the SET?s action regarding rules on backdoor listing to protect shareholders and ensure the orderly market.
persons and general investors applies the same rules. In addition, the issuing companies must ensure that subscribers through any channels such as website or telephone, obtain executive summary or factsheet
-called Know Your Customer (KYC)/ Customer Due Diligence (CDD) rules and to report suspicious transactions. Moreover, in cooperation with securities business operator, the SEC sets up standards and
with the SEC rules on standards of conduct is subject to strict sanction, said SEC Deputy Secretary-General Vasant Thienhom.
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product