juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
significantly, the securities company shall inform its clients of certain change without delay; (2) inform its clients that when a securities company encounters financial problems, the client’s money which has
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases
). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases where the
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.