service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
order to increase opportunities for, and facilitate, investors to access information of products in ASEAN capital market, and to complement an initiative of ASEAN Capital Markets Forum (ACMF) which aims
derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti
on standards of conduct. The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had
conjunction with Clause 11 and Clause 12 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 32/2559 Re: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and
.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “As cybersecurity attacks can take place at any moment, coming from those using loopholes in technology for the attacks, corporate executives
capital markets in order to reinforce investor confidence and become more attractive investment destination. Vorapol Socatiyanurak, SEC Secretary-General, said that ?ASEAN countries place high
Vorapol Socatiyanurak said that ?Business operators in the capital market have duties under the Anti-Money Laundering Act and the Counter-Terrorism Financing Act. They must therefore have in place sound and
that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment