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
July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
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
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
total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
companies and their affiliates, both in the Stock Exchange of Thailand (SET) and the Market for Alternative Investment (MAI) Ms. Ruenvadee Suwanmongkol, SEC Secretary-General said, “One of the SEC’s key
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
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