investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
appropriateness and consistency with current situations. The two notifications are: (1) Notification of the Office of the Securities and Exchange Commission regarding Reporting of Results of Public Offering
._______________________________ * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
SEC is conducting a public hearing on draft notification on financial statement forms for securities companies and derivatives business operators to be in line with Thai Financial Reporting
rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital
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
; 4) To revise the disclosure on risky debt securities by mandating a warning statement of investment risk of such products; and 5) To enhance disclosure of significant information that may have
business operators which may be considered an act of co-principals or accomplices of the offenses.The Securities and Exchange Commission (SEC) has issued a warning about the provision of services that may
uses the account opened for the purpose of trading digital assets as a means of payment for goods and services, the digital asset business operator is required to issue a warning regarding the misuse of