Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow
executive at any securities issuing company and securities company for 12 months each. The banning period shall begin from the date when each offender signs the letter of consent to comply with the civil
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
collateral from derivatives account and transferred it to the ATS account to be in line with the fraudulent transactions. In addition, he transferred the client?s deposits for the company to other clients
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
information is required in the filing of debt instrument offering including use of proceeds, process for project evaluation and selection, management of proceeds, and reporting. Appointment of an external
, with regard to risk management and investors’ protection. The proposed regulatory revision may not be perfect yet, but it’s the start for businesses to move forward. SEC is willing to learn together
levels • Comply with legal requirements บทบาทและความรับผดิชอบในการแจง้เบาะแส • Responsible and accountable for the effective implementation of its whistleblowing system • Demonstrate commitment and set
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the