conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:  (1) Prohibiting local securities companies from accepting orders of purchase

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:       (1) Prohibiting local securities companies from accepting orders of

rating reports to the local public. The voluntary rating means more regional scale rating information, which would contribute to the Thai capital market policy to promote foreign investment for risk

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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

the capital market or a lack of information that may affect investment decision making of investors. The key points of the amendment are as summarized below:    (1) Prohibiting local securities

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC