Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited as a guest speaker to deliver a lecture on the topic “Capital Market and Investment
, which considered that such operation did not reach the standards as a professional required to perform, and failed to deliver services in quality. DAB Act S.94 in conjunction with 30 Settlement
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any
Currently, the regulations related to provision on Repo grant an exemption or prescribe flexible conditions for business operators that provide services or engage in transactions with institutional
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
requirements under this Notification. Clause 6 A securities company shall provide services related to selling, repurchasing and redeeming units of foreign collective investment scheme only on the approved list
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
in accordance with the criteria prescribed by the clearing house; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the other