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
Microsoft Word - เอกสาร hearing เกณฑ์ foreign issuer_060809_.doc เอกสารรับฟงความคิดเห็น เร่ือง การปรับปรงุเกณฑการอนุญาตใหบริษัทตางประเทศ เขามาระดมทุนและจดทะเบียนในตลาดหลักทรัพย สํานักงาน สํา
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
SCB ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 29/01/2013 - 04/02/2013
SCB ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 05/02/2013 - 11/02/2013