Bangkok, September 6, 2016 ? The SEC and the Asian Development Bank (ADB) have recently co-hosted an international seminar titled, ?FinTech in Capital Market: New Ecosystem for Market Based Financing

communication between the company and investors in terms of education, mutual understanding and good relationship.?All three internal units perform back office functions which are of course no less important than

into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

made available, including articles as well as local and international developments in such areas while ?AC Corner? has been set up as a communication channel with audit committees. Furthermore, the

Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading

Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication

well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality

aggressive role in developing the market, supervising intermediaries and establishing effective communication with stakeholders under the 4P?s Principle which consists of the following attributes

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

unlawful gains for himself or another person and causes damage to Solaris Asset Management Co., Ltd. and undermined investor confidence in the fairness and integrity of capital markets, which constitutes