Thai incorporated companies and foreign companies not listed on specified main board of foreign exchanges. The proposal aims at enhancing investor protection while pushing securities issuers to rectify
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC
trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
board members, directors, executives, employees and workers of the SEC, the Stock Exchange of Thailand, over-the-counter center and derivatives exchange shall not be entitled to obtain the bounty.The
Bangkok, April 8, 2015 ? The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
violation to Clause 23(5) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 and the
. Rapee Sucharitakul, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the revision of regulations to govern qualifications of non-listed company issuers proposing
offered and to make a convenient comparison with similar products across the board before making careful investment decisions.? added Mr. Prakid.The consultation paper is available at www.sec.or.th