;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
knowledge sharing session on “Development and Framework for Technology Risk Control,” lectured by SEC executives. The occasion included a discussion on supervisory guidelines for technology risk control by
Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital
, participated in a meeting to discuss guidelines on solutions for investment scams via Facebook Ads, chaired by Mr. Chaiwut Thanakamanusorn, Minister of Digital Economy and Society. Organized by the Ministry
Bangkok, January 19, 2016 ? The SEC is seeking public comments on draft rules and guidelines for supervising crowdfunding portals.The proposed rules aim to establish a standard framework for
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows