Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Company Profile - Market Connections Asia Public Company Limited สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 20:07 Company Profile Market Connections Asia Public
promotion for all business operators in the capital market. Expected to become effective in Q1/2013, the streamlined rules will set the same advertising and sales promotion standards for all businesses with
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
Dr. Chaiwat Wibulswasdi, Chairman, Capital Market Development Fund, revealed that the CMDF board has approved in principle by supporting the Thai Capital Market’s digital infrastructure under the
having effect to investor or capital market in Thailand, regardless of whether such person is principal, aider or abettor or instructor.The consultation paper is available on the SEC website at