to further develop the capital market, find solutions to the problems so as to improve efficiency, and put in place investor protection mechanisms for investors’ confidence,” said Mr. Thawatchai

relevant agencies to put in place a mechanism for monitoring, through various channels, the impersonation investment scams involving the unauthorized use of personal names and logos of organizations

recommendations gathered from the previous hearings on the governing principles taking place in May and June 2017.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties

by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares

international standard and also enhancing the asset management companies ' competitiveness.To comply with the guideline, the asset management companies must put in place investment risk management system

} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor

required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case

, audit committee should place greater emphasis on disclosure of non-financial information to which institutional investors tend to pay more attention in making investment decision. Investors also tend to

derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti

on standards of conduct.  The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had