newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
previous period of last year as follows (1) Revenue from sales of program rights increased 30.53% (2) Revenue from advertising and media services decreased 89.49% and (3) Revenue from sales of products
Sucharitakul, the SEC?s Secretary-General, revealed that the Capital Market Supervisory Board approved the revision of regulations to facilitate debt securities offerings. An approval of two year program will be
for Capital Market Intermediaries Program (CGI 8/2015) Thai Institute of Directors Association Role of Chairman Program (RCP 24/2010) Thai Institute of Directors Association Director Accreditation
for Capital Market Intermediaries Program (CGI 8/2015) Thai Institute of Directors Association Role of Chairman Program (RCP 24/2010) Thai Institute of Directors Association Director Accreditation
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are