Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products denominated in foreign currency prior to the
well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products
Bangkok, May 10, 2012 - The SEC Board and the Capital Market Supervisory Board have approved regulations on establishment and management of Real Estate Investment Trust (REITs) to offer a new
Supervisory Board concerning personnel in the capital market*, the SEC therefore disclosed inappropriate behavior of {A} for failure to completely record client's trading orders and suspended him from the duty
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
on private sectors.The proposed rules aim to promote the Thai capital market as a fund mobilization channel for foreign companies. The key essenses include the followings: - any foreign issuer whose