consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
, in any forms or through any communication channels, is given to Thai investors; 3. Revising the required qualifications and assignment period of foreign personnel to ensure that the advisory services
credit rating assignment by international CRAs established under foreign law, and the bonds must receive an issue rating not lower than the investment-grade level. This does not apply to private placements
Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC
products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses. In addition
Bangkok, April 17, 2014 ? The SEC requires disclosure of foreign bank branches as issuers of debt securities to focus on information of branches. Meanwhile, both credit ratings of the banks and the
Bangkok, October 6, 2015 ? The SEC is seeking public comment on draft rules governing business operators of investment services to customers in foreign currency denominated products which are offered
Bangkok, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a
On 10 November 2022, the SEC Board Meeting No. 15/2565 passed a resolution approving the SEC’s proposal for amending the regulations related to quota allocation for foreign exchange transactions of