Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and

rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital

securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed

ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling

is entitled to defend himself through litigation, for examples: Filing a lawsuit for damages against directors and management executives of a company, in case that directors or the management of the

develop the capital market. Highlights of these effort are the workshop meeting with all sectors of market participants chaired by His Excellency the Prime Minister on May 31, 2001, and the compilation of

net profit* margin of 13.7%, +110 bps YoY. Our strategies are to focus on core products and defend profit through supply chain, operation costs and expenses control, such that A&P have been cut or

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the