Asia Wealth Securities Company Limited Is being processed. SEC Act S.98(3) Criminal Complaint Filed with an Inquiry Official Dated 29/12/2022
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
Additional Rules on Foreign Companies Holding or to Hold Shares Being Securities Traded on Foreign Securities Exchange that Offer for Sale of Newly Issued Securities in Thailand
Dedicated analysts/ working groups and clear senior leadership Regular ESG educational programmes/ modules and seminars ESG/ sustainability/ green bond or other thematic bond evaluations ESG indicators are
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, gave an educational lecture on "Strategies for Securities Investments: A Guide for Beginners" for
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
Stop Query” information searching system for the SEC’s staff to conduct supervisory tasks External services ● Restructured SEC website to be more informative and user-friendly ● Facilitated online report
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
shall be exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent