securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
personnel in the capital market business under Clause 31(1) of No. TorLorThor. 8/2557. The SEC, therefore, revoked the approval from their duties as securities investment consultants and will not consider
are the subject of rumours. We also sought cooperation from popular stock chat websites to be careful in their posting of company news that has not yet been confirmed or denied. The most accentuated
institu- tional investors Institutional investors are an increasingly diverse group of investors. While some invest on their own account such as pension funds and insurance companies others are asset
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business
services used, names of the service providers, and statistics of votes exercised using proxy or advisory services. Principle 5.6 Institutional Investors should disclose their approach to stock lending and
audit firms and auditors in order for them to alleviate their deficiencies successfully in the future. By performing root cause analysis, the SEC found that some audit firms were unable to alleviate their