and guidelines for overseeing risk management and management of digital wallets and keys as well as communication to clarify such policy, action plans and procedures, work supervision and internal

, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor

securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

aims to raise public awareness in personal finance, retirement savings, accessibility to suitable financial products and services and investor right and protection. The 14 alliances include the SEC, the

Bangkok, February 18, 2013 ? The SEC and the Thai Listed Companies Association (TLCA) hosted the ?SEC for CEO Forum? project to strengthen relationships and increase communication channels for

Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department.    2. Deputy Secretary-General Vasant Thienhom is in charge of the

In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common

prescribed by ACMF, for example, the research report is produced by licensed person by the home regulator and has already been promulgated in the home country, the promulgation is made upon consent of the

provided services or presented itself to the public that it was ready to provide the digital asset exchange service in the ordinary course of business outside the digital asset exchange. Additionally