personnel in Thai capital market to better accommodate investors? diverse needs. The proposed revisions cover issues, for example, the approval regime for technical analyst and determination for persons
consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or
Bangkok, August 28, 2015 ? The SEC has amended rules governing issuers? qualifications to further enhance the efficiency in the securities public offering?s reviewing process of non-listed companies
require that issuers of any type of debt securities use the same standardized factsheet form which accommodates product type-specific disclosure, for example, plain debentures, structured notes, securitized
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the
for their own interest or other persons’, causing damage to AJD. In the case of AJD price manipulation,* the SEC has found facts and evidence that during the month of June 2014, Amorn (at the time
Thai Police on 27 June 2023. The SEC has received coordination from the special case investigative team**, which was appointed by Prime Ministerial Order No. 288/2023 dated 24 October 2023, in
trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders