Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses
SEC may call for persons involved to provide information or submit evidentiary documentation while coordinating with foreign agencies to increase clarity for considering such matters.Also, the SEC
and provide data for systemic risk management. The data must be kept for at least five years from the transaction date; 2. A derivatives broker may become a debtor by judgment or a
: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The SEC probed into the
provide investment advisory services; 4) process and operations of the business operator, such as, reporting of investment results, adjustment process, investment strategy by presenting information for a
) the offer for sale is in accordance with a resolution passed at a shareholders meeting of the offeror, provided that the notice calling for the meeting shall provide sufficient information for
a handbook to provide guidance on the various administrative and procedural matters including the criteria for issuers, the application procedures and the review timeline. Dr. Vorapol Socatiyanurak
business operators are able to provide services with these five elements, people should be satisfied with long-term financial planning for healthy financial status.”SEC Secretary-General, Rapee
and deliberation as a professional, and {B}'s was a failure to perform duties or provide services honestly. Both cases were in contravention of the Notification of the Capital Market Supervisory Board
Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive