Complex Type 2 Investment Consultant
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
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Bangkok, June 17, 2014 ? SEC urges securities and asset management companies to concretely consider supporting anti-corruption with disclosure of Anti-corruption Progress Indicator of listed companies in the research. Meanwhile, securities and asset management companies are also urged to become a role model for anti-corruption practices as the Indicator of each business operators will be publicized from 2016 onwards.Chalee Chantanayingyong, SEC Deputy Secretary-General, said following disclosure...
Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received