system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for emergency matters whereby
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
debt instruments (surveillance report – on a monthly basis)) ✓ ✓ 1. Database of SET Smart (the summary of trading and important statistics on debt instruments and bonds from the Stock Exchange) 3
offenses against the Securities Law such as fraud, unauthorized fundraising or unlicensed securities business undertaking, remain subject to criminal proceedings by means of criminal complaint filing with
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
, while the list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website: https://market.sec.or.th/public/idisc/th/InvestorAlert. To notify
suspicious activities or unauthorized business undertakings, please contact the SEC Help Center at Tel: 02-263-6000 or complain@sec.or.th or the AFTC at enforcement@aftc.or.th for further
at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https