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
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
facilitate the exchange of experiences among law enforcement personnel involved in the Thai capital market. During the event, SEC executives presented lectures focusing on supervision and law enforcement
The SEC has amended the regulations concerning supervision of personnel in capital market businesses by extending the renewal application submission period from September 1st to December 15th each
Bangkok, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
Association (TISA), and the Institute of Internal Auditors, Thailand (IIAT), co-organized a panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the