The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
date to be specified in the notifying letter of the SEC Office. ________________________________
rebalance the customers’ portfolio to attain the customers’ goal subject to the specified framework. A business operator who is interested in providing the wealth advice service and qualified in accordance
responsibilities specified by their different missions. The MOU’s term is one year, starting from the signing date.
to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. The inside
. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to
specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October
comparative studies on laws and regulations of specified foreign jurisdictions to facilitate the listing of foreign securities on the Thai bourse.
-5 years or a fine from 200,000-500,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues as specified by Section 289 of the SEA. The SEC
specified internationally accepted accounting standards;- The SEC-approved financial advisor must provide service and advice for three years;- Additional information must be disclosed in the registration