Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013
Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing services to clients
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
communicating and providing services to clients with details covering the operation specified in Clause 4; 2 (d) having a plan to report the results of the experiment and progress of service provision to the SEC
Bangkok, 25 July 2022 – The Securities and Exchange Commission (SEC) has uploaded an information filing form specifically for the Zipmex Thailand case where its clients are affected by the company’s