objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most
amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training
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
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
registration statement (if any), must emphasize on information of the issuing branches, either short-term or long-term debt securities, to better reflect credit risk.Also, to ensure adequate information for
could not be verified. As a result, it is uncertain that the 154 million baht fund quoted in the tender offer would be adequate. The tender offeror and the financial advisor must demonstrate with
regulations focus more on clear and adequate information disclosure for investment decision making,? said Vorapol.
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
: - 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); - 21 March 2014 to 3 June 2014