requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on

capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments

companies.In protecting the best interest of investors, the SEC is proposing to amend such rules to provide a clearer practical guideline for fund management and more room for investors to consider potential

not bring about liquidity problem and the funds? inability to appropriately sell their assets. Therefore, the SEC proposed to revise the regulations to be more practical in that the said dissolution

Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed  revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders