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, October 15, 2009 ? The SEC is conducting a public consultation on the revision of rules on approval of securities business personnel to streamline and expedite the approval process in line
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
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
The Securities and Exchange Commission (SEC) organized an annual academic seminar on the topic, “the Thai Capital Market Knowledge,” for public prosecutors and SEC officers. This event aimed to enhance knowledge and professional capacity, facilitate experience-sharing and constructive feedback, and improve legal enforcement and judicial processes in the Thai capital market. Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, delivered the opening remarks and recapped the SEC’s regulatory...
Bangkok, December 4, 2012 ? The SEC organised training programs for both the SEC staff and capital market personnel to keep pace with new securities and derivatives trading methods and prepare them
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards