Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information (mobile number and email address) with her own information to register for the bank’s internet...
The Terms and Conditions are essential for enforcing bond repayment obligations and establishing the commitments between bond issuers and bondholders. Additionally, they serve as a reference for the duties of various parties involved with any particular bond, including bondholder representatives and bond registrars. This joint proposal for revising the Terms and Conditions builds on the SEC and ThaiBMA past collaboration, including the making and dissemination of the Sample Bondholders...
derivatives business operators concerning the standards of business conduct, management structure, operating system and services they provide.In this connection, the SEC will revise the rules governing
Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries