SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
applied to retirement-related funds. Purchases must be made between 1 April 2020 and 30 June 2020 and investors must hold their investment units for not less than 10 years. SEC has issued relevant
conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
Bangkok, 10 February 2017 ? The SEC has extended the deadline for submitting the special audit report of K.C. Property Public Company Limited (KC) to 8 March 2017.Earlier, the SEC ordered KC to have
times within seven months up until this latest case. Laddawan, Orapin and Napas submitted to the SEC the results of the exam taken by Atcmima for their respective approval as investment consultant. The
Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules
Bangkok, February 26, 2014 ? The SEC is seeking public comment on proposed rule on the classification of mutual funds based on net exposure. The classification will be used for fund performance