Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
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
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
Registered Office: 475, 8th floor, Siripinyo Building, Sri Ayutthaya Road, Phayathai Road Sub-District, Ratchathewi District, Bangkok Type of business: Real Estate Development Registered capital: Baht
with greater opportunities to participate in the development of regulatory standards for international capital markets. It also enhances trust and confidence in the Thai capital market while showcasing
investors’ rights in alignment with the changing capital market ecosystem. The discussion included strengthening trust and confidence in the Thai capital market through the pursuit of class action lawsuits
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with SEC Ambassadors, delivered a financial and investment lecture to 80