Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
the client of FIFO criteria applied by the Revenue Department. Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
comply with international standards and be recognized in the global community. Also, the capital market is a key driver of the national financial system. The FSAP involved two main separate assessment
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
?Pride of the Provinces? two years ago, 219 companies from 39 provinces nationwide have participated in the project.? The SEC realizes that wider participation will bring about more awareness, knowledge
, Section 313 and Section 315 of the Securities and Exchange Act B.E. 2535 (1992), as the case may be. The SEC has therefore filed the criminal complaint against the two persons with the ECD for consideration
. Most respondents agreed with the proposed amendments. The SEC has therefore issued two notifications of the amended regulations which contain the key provisions as follows: (1) Disclosure
. Most respondents agreed with the proposed amendments. The SEC has therefore issued two notifications of the amended regulations which contain the key provisions as follows: (1) Disclosure