Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later
who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the
on a new role in a familiar organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the capital market and supports economic growth. Under
Institute of Development Administration (NIDA) to organize ?SEC Working Papers Forum.? The Forum starting by this month aims to provide a platform for capital market research presentation and knowledge
global issue and urges all stakeholders in the capital market, particularly asset owners and asset managers, to prioritize positive actions on climate change as they have the decision powers to invest
specified offences; for instance, market manipulation, insider trading or dishonest act shall be deemed to have untrustworthy characteristics and shall be vacated from his or her directorship or executive
for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the
Thai Agencies Public Company Limited (TTA), a group of investors has claimed to (1) have collectively purchased approximately 30 percent of TTA shares, (2) expressed the intention to change certain