objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most

amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training

service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

registration statement (if any), must emphasize on information of the issuing branches, either short-term or long-term debt securities, to better reflect credit risk.Also, to ensure adequate information for

could not be verified. As a result, it is uncertain that the 154 million baht fund quoted in the tender offer would be adequate. The tender offeror and the financial advisor must demonstrate with

regulations focus more on clear and adequate information disclosure for investment decision making,? said Vorapol.      

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate

biography of the audit committee. The audit committee number 1 has adequate expertise and experience to review creditability of the financial reports. The audit committee of the company has the scope of

: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories dated 3 August 2016 with respect to the procurement of adequate financial resources for