usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himself or another person. The court sentenced him a 4 years and 12 months imprisonment and a total fine of
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
flexibility and clarity. The revisions include, for instance, allowing issuance of structured notes denominated in Thai and foreign currencies; harmonizing issuers? types and qualifications both in public
market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market
Bangkok, January 22, 2014 ? The SEC is seeking public comment on proposed revision to the rules of customer contact and service for all licensed business operators to standardize the relevant
. The application form is available for downloading at http://www.sec.or.th/seminar/seminar56.pdf. For more details, please contact 0-2263-6111, or email to corgov@sec.or.th.
Bangkok, June 14, 2013 ? The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving
issuers. The proposed revision intends to simplify the rules and strike a balance between the investors? need for adequate information disclosure with respect to their investment decision and the
Bangkok, April 2, 2015 ?The SEC and the Department of Business Development (DBD) of Ministry of Commerce have jointly promoted ?crowdfunding? as an alternative fundraising channel for small and