and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

 Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The

seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be

of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of

Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration

of Shareholders No.1/2021 to electornic meeting (Adjust Template) 05/01/2021 18:27 Notification of the change of Meeting venue and change a method of convening the Extraordinary General of Shareholders

Rules on Establishment of Information Technology Systems, with the following key points:     (1) To adjust the frequency of submitting IT audit reports to be appropriate for the risk level of small

workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan

stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows:           (1) To adjust the frequency of submitting IT

three years or upon occurrence of a widespread adverse incident;   (2) To adjust the submission schedule for the Risk Level Assessment (RLA) report and IT audit report to be within the same period (during