trading orders. Due to these amendments to the relevant regulations involving the implementation of entirely new measures, it becomes appropriate for the SET to communicate those newly deployed measures to
Bangkok, June 30, 2016 ? The SEC has become one of the first signatories to the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passort (MoC), which
is an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers in 2009. The Framework aims to facilitate cross-border offerings of Equity Securities and Plain Debt
whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
assets comes with high risks. Those who are interested in investing must have knowledge and ability to take risks in investment losses. In a case of persuasion for investment, investors should examine
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
goals. Hence, determination of regulations on supervision of derivatives clearing houses, efficient use of information technology (IT governance), and implementation of appropriate risk management and
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other