regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the
examinations recognized by the SEC and have work experience in preparing technical analysis researches. Also, they must not possess any prohibited characteristics of personnel in capital market. The consultation
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client
themselves in an unfavorable position, for example, the employers going out of business, the new employers not having a PVD privilege, or the former employers limiting the retention period for the PVD benefits
business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003) and thus liable under Section 125 of the same Act to imprisonment for a term not
Bangkok, December 15, 2014 ? The SEC has announced selection process for new Secretary-General. Candidates must have qualifications and shall not possess any prohibited characteristics. The SEC Board
offerors failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form
failed to comply with rules specified by the Capital Market Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 as they did not deliver the offer document (“Form 247-4