investment service provider. To perform their roles and responsibilities, personnel in the capital market need to acquire knowledge and understanding of the ESG principles and apply them in providing

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

companies directors and executives under the relevant notification, this person, therefore, cannot perform duties as a director or an executive of the company and cannot act as personnel in the capital

SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to

Microsoft Word - ELCID_Telemax Capital Increase       No. FER 600195 March 23, 2018 Subject : Notification of the capital increase and investment plan of its subsidiary Attention : President, The

employees.  The revision aims at encouraging employees to save more, save longer, and save smart, to enjoy better quality of life after retirement.The proposed amendments would require that asset management

increase via private placement (PP) to become ineffective until the SEC shall order otherwise.  This follows POLAR?s announcement concerning (1) additional agenda of Extraordinary General Meeting (EGM) No.1

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...