center are comparable to those for stock exchange. Derivatives Exchange is a market to facilitate the trading of derivatives. Any persons who wish to become a derivatives exchange must be a public company
. _____________________________ Remark: the hearing documents (Thai language only) are available at https://capital.sec.or.th/webapp/phs/upload/phs1551229102hearing-11-2562.pdf Documents SHARE : Building Confidence in the
transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s trading account into her mother?s account for her own benefits. Such share transfer was prearranged
securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10
laid out the strategic plan for the next three years (2019-2021) focusing on the optimum use of technologies to enhance market efficiency and facilitate fundraising and investment activities in order to
startups to offer sustainability-themed bonds SEC Strategic Plan for 2024 – 2026 focuses on building trust and confidence in the Thai Capital Market, which will serve as a key mechanism towards national
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
rights). A Trust for high net-worth investors vs retail investors Key provisions in the regulations governing Infra Trust regarding high net-worth investors and retail investors are summarized as
meet the criteria specified in the SEC regulations to be listed on the Thai stock exchange and offered to investors in Thailand. This offers the investors the flexibility to trade the units of foreign