capital market personnel or as director of any issuing and listed company. The SEC?s investigation was based on primary information from the Stock Exchange of Thailand together with DBS Vickers Securities
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
English (United States) Market Misconduct × Home > Laws/Regulations > Regulations > Prevention of
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
จะร่วมกับเจ้าหนี้รายอื่นแต่งตั้งตัวแทน (securities agent) เพื่อดูแลหลักประกันดังกล่าวได้หรือไม่ และการตั้งตัวแทนดังกล่าวถือเป็นการตั้งตัวแทนตามมาตรา 100 แห่งพ.ร.บ. หลักทรัพย์ฯ หรือไม่
activities in the capital market from pre-trading to post-trading. Thus, business operators possessing useful innovations for investors will have the opportunity to participate in a regulatory sandbox in a