clients by virtue of their actions. The {D} case is deemed as using client account to trade securities for herself by using non-financial institution loans. Their misconducts are therefore in violation of

Bangkok, October 31, 2012 - The SEC is seeking public comment on regulation on outsourcing in securities and derivatives businesses. The proposed regulation aims to standardize the supervision on

are allowed to outsource without seeking for the SEC approval; they simply need to notify the SEC in advance, if the outsourcees are as follows;  (i) a financial institution, (ii) a subsidiary of the

500,000 baht and the company limit applicable to mutual funds will also apply (the fund will be allowed to invest not exceeding 15% of NAV in the instruments issued by non-financial institution and not

Bangkok, January 4, 2012 ? The SEC announced today the Strategic Plan 2012 accentuating the capital market?s role as a key driver of economic growth and regional leadership in preparation for the

Inform the Board Resolution to register a subsidiary company in SET - Translation - UAC.CS/006/2018 March 23, 2018 Subject: Plan to spin-off Subsidiary Company to be listed in mai To: The President

(23 August 2024) Lecture for local administrative organization executives, bank and specialized financial institution managers, staff, clients, cooperatives, and entrepreneurs in Sukhothai

On 17 May 2022, the Capital Market Supervisory Board Meeting No. 4/2565 passed a resolution approving in principle the proposed amendments to the regulations on approval for issuance and offering for

a loan from a financial institution. The Board of Directors and the Audit Committee view that the investment in such projects can generate long-term consistent income and the contract party is a

granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance