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

200,000 to 500,000 baht, and a further daily fine not exceeding 10,000 baht for every day during which the contravention continues. ________________________Remarks:-  The Ministerial Regulation Re

effectiveness as the one suggested by SEC.The process of KYC is an initial procedure that every business operators in the capital market need to perform in order to onboard customers in accordance with the

investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be

proportion. PPO requires approval of the shareholders’ meeting and the newly issued shares must be offered to every shareholder indiscriminately except any shareholder who, after share subscription, would

or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues.The SEC therefore filed a criminal complaint with the ECD

investment units, debt securities, equities, derivatives and provident funds. Instead of doing the suitability test prior to every investment in new products, investors can do one set of the test for

created to push forward the comparable quality of financial reporting standards adopted by every country in the region. All in all, the events contributed valuable learning experiences to the participants

of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve

ending on 31 December of every year to 1 October and ending on 30 September of every year effective from 2016 onwards, in which the 2016 fiscal year will be starting on 1 January 2016 and ending on 30