courses on good corporate governance to promote ethics, morals and codes of professional conducts for utmost benefit of the clients. Vorapol added that ?Personnel in securities and derivatives businesses
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
to investors for the benefit of investment-decision making through the annual registration statement (Form 56-1 One Report), which will become effective in 2022. SEC Secretary-General Ruenvadee
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last