Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g

?. The event aims to disseminate knowledge on financial management where visitors can meet at booths for advice on finance and health, targeting those about to retire in preparation for entering a new

shares by using non-public information about SOLAR and Wuxi Suntech Power Co., Ltd. (SUNTECH) jointly won the bid for solar power plant project of Bangchak Petroleum PLC (BCP) in which SOLAR will be

. Development of Mobile App ?start-to-invest,? an application disseminating knowledge about investment on iphone and ipad with user-friendly and comprehensive features was thus initiated by the SEC. App start-to

capital market for infrastructure development, not only to bring about better living quality of Thai people but also to attain the utmost benefits from the upcoming ASEAN Economic Community (AEC),? Vorapol

permitted as from August 15, 2014.?The global linkages in financial markets bring about challenges for private sector to seek new business alliances and income sources. The SEC facilitates issuance of new

subscribe its subsidiary?s capital increase shares, it turned out that the purchaser, just about six months later, sold a listed company Million Miles shares at the price very much higher than the

} admitted that she had continually talked with the client about support and resistance lines of the derivatives prices and also informed the client of trading results via email. The client has never objected

such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating