service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
onwards. In considering these amendments, SEC has taken into account opinions received from business operators and related parties during the public hearing which took place earlier.________________________
revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
Securities and Exchange Act. On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions
The regulatory revision on the information disclosure and an issuer’ auditor takes into account the readiness of the capital markets without creating too much burden for stakeholders. Significant
related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
into the encountered problems and obstacles, which in turn can be taken into account for the formulation of and improvement in the supervisory directions and mechanisms for further development of the
baht. Thus, this would be considered an inappropriate price. In forming the opinion on the said matter, the IFA has also taken into account related expenses that may incur if the acquisition is not