SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.   23/05

  SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.   23/05

  SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.   23/05

regulatory and supervisory framework of the Thai capital market are enhanced to be among those of the leading countries. Under the PFMI assessment, the SEC has received fully observed in all supervisory areas

; · Such pledging requirement will be applied to all cash accounts so that net settlement can be used by every cash account, thus ensuring clearing system?s stability; · Even though SET has made

and fund management business.   The provisions to be amended are:   1. Types of Investable Financial Instruments Retail investors will be allowed to invest in additional types of foreign securities

the sufficiency and appropriateness of these mechanisms are assessed annually must be put in place. SEC has published a hearing document on the above matter on SEC website, available at

. The SEC is therefore conducting a public hearing on the proposed amendments. The major changes to be introduced are as follows:  (1) Specifying the process of SEC Office in assessing whether the

served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the

consultant for one month. In this regard, RHB Securities (Thailand) has already suspended him from work for an equal period of one month. Thus, the SEC's suspension is deemed to have been served.Investors are