prescribed additional qualifications of principle valuers for transactions in capital market. The applicant intending to seek the SEC?s approval must pass the examination of Scholastic Management Aptitude
creation of values for investors, businesses and the society as a whole.?In view of the above, the SEC has launched a regulatory reform project to review and streamline regulations currently in use. Experts
issue through a website, being designed in any form that allows people to make comments. Such form extends from a website gathering investment news with a feature for outsiders to make comments, a web
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
protection, consumer protection, and dispute resolution. Providing legal assistance to defrauded investors in capital market is equal to providing protection for public interest. The wrongful acts in
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
specified by law must submit a written clarification of the reason for the postponement to the registrar on a case-by-case basis after AGM has been held. In addition, SEC is considering a deadline
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board