authorities to keep pace with innovations and address emerging complex challenges. This MoU also underlines SEC Thailand’s focus on strengthening relationships with leading regulatory authorities, including

Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives

orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep  tape evidence of all investment advice and a client's securities

interrupt international travel plans of directors to the point that listed companies are unable to hold the board of directors’ meeting to seek approval of the companies’ financial statements.” In

Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual

theirs. In the case of REIT, a subsidiary means a company in which REIT invests indirectly through shareholding and which holds ownership of the invested assets. In addition, REIT must hold at least 99

The SEC’s order was issued after IFEC announcement on 14 August 2018 via the Stock Exchange of Thailand that the company would hold a board of directors meeting on 22 August 2018 to discuss the

inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6 or Clause 7 in any of the following cases: (1) the appointment by an intermediary registered to be a derivatives

; (3) investment analyst ; (4)2 agricultural commodity trading management official. Clause 10 This Notification is inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6

. Clause 10 This Notification is inapplicable to an appointment of person to hold the positions under Clause 5, Clause 6 or Clause 7 in any of the following cases: (1) the appointment by an intermediary