Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance

Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under

Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market

Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of securities clients.Essentially, securities companies and derivative business operators would be a...

Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without