reference. - ราง - Notification of the Capital Market Supervisory Board No. Tor Jor. 63/2561 Re: Approval Rules on Offer for Sale of Newly Issued Bond of Foreign Entity Denominated in Thai Baht
effects on transactions in the capital market and investor services. ________________________
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market
Support of Service Provision Related to Capital Market
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
ไมเกิน 1 ป/ขายกอนกําหนด 1. NO MARKET 2. SET 3. MAI 4. BEX 5. TFEX 6. THAIBMA 7. INTERNATIONAL MARKET 8. OTHERS หมายเหตุ : ใหรายงานใหสํานักงานทราบเปนเอกสารภายใน 5 วันทําการนับจากวันที่ขายหลักทรัพย
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credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such