requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on

capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments

step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights ​6. ​The proposed rule is considered by the relevant sub-committee ​ ​The sub-committee members

publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized

@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection.  Investors and the public can file a

discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of

client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business