records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also

” underlying “derivatives” “derivatives on organized exchange” derivatives derivatives “discount rate” “FX” (Foreign Exchange) “GMS” (Greater Mekong Subregion) ( ) “group limit” “guarantor rating” “international

SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly advised to immediately check mutual

; and records or past demeanors indicating unsuitability to serve as personnel in capital market businesses.  The SEC emphasizes that investors should regularly review their unitholding statements and

The Vibhavadi Zero Waste campaign was organized by SEC which invited listed companies located or having a project located along Vibhavadi Road to jointly manage waste in the organizations in an

registration statement (Form 56-1) since it is vital to investors? investment decisions. With its plan to study and consult with related parties, the SEC recently organized a seminar to determine MD&A guidelines

Bangkok, October 24, 2014 ? The SEC and the Faculty of Business Administration, National Institute of Development Administration (NIDA) co-organized the ?4th SEC Working Papers Forum,? under the

Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found

| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of