benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency