of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that

where debt issuers have used the channel for offering to a limited number of investors for the wrong purpose by extending such offer to high net worth investors who knew little information on the issuer

making investment decisions. Direct inquiries can be made to the securities company where the investment consultant works, the SET or the SEC. _____________________  * Clause 23(2) and deemed to be the

On 19 and 28 June 2018, SEC held a seminar on the topic of the I Code and the benchmark assessment of PVD at the SEC office, where over 200 PVD committees had attended. PVD plays a crucial role in

markets.  The draft notification also specifies the details of the service agreements, for example, the provision on receiving client orders, where the business operators and the clients can agree on the

assets in accordance with the Derivatives Act B.E. 2546 (2003) to ensure clearer protection of customer assets. The main focuses of the proposed regulations are as follows:                 1. Where a

Thai people, provision of adequate and accurate financial knowledge and information for their proper decision-making is crucial, particularly in today’s investment world where advanced technology

company where it will be more convenient for investors as investing in Thailand allows them to own several businesses in the region. The Thai capital market, thus, is able to offer myriad and? diversifying

unit and investment unit must be complied.3. In case where person having duty to launch tender offer delayed filing of tender offer, the offering price must be fair to investor and must not allow tender

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had