. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
rules, or has failed to meet the conditons after aprroval, or has failed to diclose a complete, correct and sufficient material information for investor decision making, the SEC Office may suspend or
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), welcomed visitors from the Legal Affairs Division, Chiang Mai University, on the occasion of
Economic Crime Suppression Division. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 28/01/2021
Suppression Division. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 28/01/2021
subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in any Clause of this Chapter permits to do so; (3
characteristics of eligible service provider shall be subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or