) Type of related Professionals in Host Jurisdiction A Professional who intend to obtain ACMF Pass in Thailand (“Applicant”) must apply to be personnel in the capital market business in the following
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
stability and prevents systemic risk to promote sustainable financial market growth, and worked closely with the Stock Exchange of Thailand to reduce redundancy and facilitate the business sector.?SEC has
the Stock Exchange of Thailand to enhance relationship with Mekong regional counterparts on a continuous basis. This includes promotion of products that would generate mutual benefits for the markets on
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
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, 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
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
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Thai Knowledge for Capital Market - Governance การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำ