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, rectifications or other acts that benefit or impede the SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business.In this
| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency
| - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
Building Confidence in the Capital Market No. 10/2017 SEC grants a second extension to KC special audit report submission Bangkok, 13 March 2017 – The SEC has extended the deadline for submitting the
Building Confidence in the Capital Market No. 6/2017 SEC extends deadline for KC special audit report Bangkok, 10 February 2017 – The SEC has extended the deadline for submitting the special audit
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading