providers must select SEC-approved outsourcee and increase the roles of business providers regarding self-supervision. Business providers must regulate their outsourcing policies at least once a year, with
Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
recognized by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit reports to the SEC Office with regard to their financial condition, business operation or any other information
verify whether solicitors have been approved by the Minister of Finance or the SEC. In case of suspicious, unlicensed securities business operation, please call SEC Hotline 1207 for further inspection
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft
case where an approved person has not performed duties under any business operator to reduce the burdens of renewal submission and payment of renewal fee, and (2) requirement for the business operator
the SEC’s supervision as well as the lists of securities and digital tokens approved for public offering. Additionally, the list of business operators who are not under the SEC’s supervision and the
this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for