December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies

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

in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while

complicated than plain debt securities as it is a combination of debt securities and derivatives. An investment in the structured notes involves in a few risk factors such as underlying risk, credit risk of

business operators and investors. This is because minors’ execution of legal acts is subject to several provisions of the governing Civil and Commercial Code. As a result, minors may be exposed to a risk

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

listing, foreign ETFs must have non-complicated features and investment policies tracking commonly accepted securities indices or price indices such as those whose underlyings are a basket of securities

exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the

Bangkok, January 14, 2013 ? The SEC revealed four key strategies, highlighting six initiatives to be launched in 2013. Its strategic direction includes: reaching out in response to the needs of