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
The SEC has implemented the initial intensive measures for securities public offering companies and listed companies that commission carbon footprint preparation reviewer in accordance with the Notification of the Office of the Securities and Exchange Commission No. Sor Mor. 18/2564 Re: Measures on Fee Deduction for Filing the Registration Statement for Securities Offering and the Annual Registration Statement for Companies Disclosing Greenhouse Gas Emission Data, dated 10 March 2021. The fee de...
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
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
through this channel will help facilitate their business expansion and development as well as foster their competitive edge at domestic and international levels. To this end, more jobs would be created and
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
Commission (SEC) on this exciting engagement on the topic of assessing the landscape of Thai securities businesses after COVID-19 and under digital disruption. This assignment is timely for the SEC to
, 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
feasibility of supporting expenses for human resource development, investor base expansion and IT system development in order to raise the business operating standards which will be beneficial to the
, intermediaries have adapted in response to such changes. For example, restructuring affiliated companies and optimizing the use of human resources to serve business expansion, including diversification of products