Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
effective cybersecurity plans. SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of
) Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2) Reviewing regulations to be up-to-date and consistent with other regulations on other types
extended to 7 business days as from receiving complete information to reflect need to work on more detailed and complicated information. The consultation paper is available on www.sec.or.th. Stakeholders and
Securities and Exchange Act. On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en