financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
October 8, 2004 for consideration. Mr. Thirachai Phuvanatnaranubala, SEC Secretary-General, said that ?The SEC will conduct a full-scale investigation into this matter thoroughly. Please be assured that
the delay in ownership transfer in a certain number of our customers and lockdown policy implemented in various countries causing difficulty for real estate foreign buyers to proceed the ownership
office of the securities companies directly to be assured of legitimate services, accurate documentation and prevention of client asset interference.
public their list of 127 senior securities analysts who will represent brokerage houses in providing securities analysis or information to the public via media. Please be assured that these senior level
standards and assured by SEC-approved auditor.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
cooperation among the four agencies will help clarify news and rumor to the public more efficiently and promptly. This is because we can contact the right agency and the right person. Please be assured that
prescribed term,- Setting the daily redemption value of the mutual fund,- Dividing mutual fund assets by the degree of their liquidity or the ease/difficulty of valuating the invested assets