asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
Procedures for Brokerage, Dealing and Underwriting of Investment Units dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following regulations. Clause 1. This
dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following regulations. Clause 1. This Notification shall come into force as from 16 March 2007. Clause 2. In
Brokerage, Dealing and Underwriting of Investment Units dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following regulations. Clause 1. This Notification shall
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
the following regulations: Clause 1 The provisions under (2)(b) of Clause 12 of the Notification of the Capital Market Supervisory Board No. Tor Jor. 39/2559 Re: Application for Approval and Granting of
identified and corresponding plans for adjustments should also be implemented in a timely manner. The SEC has observed the following examples of factors affecting the quality of engagement performance of the