Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or email address at rangrong@sec.or.th until October 7, 2013...

Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

Exchange of Thailand did not cover the securities trading on August 16, 2004. Expectedly, if compilation of information is completed, the investigation result will be proposed to the SEC board meeting on

securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from

เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ

’ Life Platform of Choice”, we have upgraded our capability in data compilation and analytics, allowing us to understand and anticipate each individual customer’s needs under the “Segment of One” while