Today, SEC and organizations in the capital market – namely, the Stock Exchange of Thailand Group, the Federation of Thai Capital Market Organizations (FETCO), the Association of Securities

apply for securities listing on any of the three exchanges of LuxSE, namely (1) Bourse de Luxembourg (BdL), whose criteria are as stringent as the regulations governing public offering of corporate

all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of

collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the

areas, namely securities regulation reviewed under 37 IOSCO Objectives and Principles of Securities Regulation, and the clearing and settlement infrastructures reviewed under the Principles for Financial

areas, namely: (1) Starting a Business, (2) Dealing with Construction Permits, (3) Getting Electricity, (4) Registering Property, (5) Getting Credit, (6) Protecting Minority Investors, (7) Paying Taxes

Section 289 of the SEA, namely imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, and a further fine not exceeding 10,000 baht for every day during which the contravention

, who had commanded or acted in such a way that resulted in the aforesaid violation by their respective companies, were subject to the penalties under Section 300 of the SEA.Three of all offenders, namely

to safeguard investors’ interests. SEC has revised the following five notifications, namely, (1) The draft notification relating to the investment of mutual funds, (2) the draft notification

, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are