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
derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its
derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1) 3 registered derivatives business operator who is a commercial bank, a
derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1)3 registered derivatives business operator who is a commercial bank, a
keep the policy interest rate unchanged at 1.50 percent, with the view that the Thai economy is expected to grow at a stronger pace while the impact of economic growth has yet to be translated to a broad
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed amendments to the regulations requiring audit firms to maintain a minimum number of
Following a public hearing on the proposal to amend the capital adequacy requirements for business operators to ensure that they have sufficient capital to address business risk and maintain