with relevant laws and regulations. **Details of sanctions are as follows:1. Suspended {A} from his duty as the approved securities investment consultant for 3 months, effective from July 3, 2015. 2
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
financial reporting and duty performance of market participants would benefit both fund mobilizers and investors.The proposed rules are expected to take efffect on 1 January 2018.The consultation paper is
communication, and (4) the oversight of fund products and duty performance of selling agents. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to
intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty
a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty
companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand.The consultation paper is available at www.sec.or.th. Stakeholders and
issuing Thai companies, whereby the reporting duty would begin only after the issuer?s securities have been listed on the Stock Exchange of Thailand. The consultation paper is available at www.sec.or.th
Securities Public Company Limited ("KTBST") failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested
major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty