investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
Determination of Definitions in Notifications Relating to Issuance and Offer for Sale of Debt Securities (No. 2)
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
Decree on Special Purpose Juristic Persons for Securitization The Trust for Transactions in Capital Market Act Ministerial Regulations / Notifications Ministerial Regulations - SEC Act Ministerial
examination of the overall financial position and risks of members, which at least regularly evaluates and monitors their financial position, financial stability, and risk management systems, and shall
the drafting of all related notifications of the SEC and notifications of the Office.On February 21, 1997, the Minister of Finance affixed his signature on two notifications of the SEC on Criteria