issuing branches must be provided to better reflect credit risk.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on
investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC's further inspection has revealed several defective core work systems of AEC, especially the Know
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of
underwriting of investment units (LBDU), the SEC's further investigation has revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients
market growth, and worked closely with the Stock Exchange of Thailand to reduce redundancy and facilitate the business sector.? SEC has improved supervisory standards in many areas, including debts
improved supervisory standards in many areas, including debts offerings, communicating expectations for securities business intermediaries to provide standard services for clients? best interest (putting
revealed that during the period from August 2008 to December 2015, six of the bank's investment consultants deceitfully took clients? money intended for payments of investment unit purchases for personal
remediation plan, contributing to constantly improved system of quality control within the firm. The most striking result to emerge from this inspection cycle was the improvement of “leadership responsibilities
month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC