In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
The Securities and Exchange Commission (SEC), represented by Ms. Sarica Apiwatthakakul, Director of the Capital Market Education Department, welcomed instructors and students from the Department of
Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf.
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
The Securities and Exchange Commission (SEC) welcomed instructors and students from Financial Engineering Program, School of Science and Technology, University of the Thai Chamber of Commerce, on
Literacy for New Generations” to approximately 200 participating students and teachers. This initiative aimed to enhance the understanding of financial planning and goal setting as well as the SEC’s roles
Government Housing Bank and (13) Krungthai Bank Plc. The MOU signing ceremony took place at the Teachers’ Council of Thailand, the Ministry of Education, on 6 January 2023. Through the integrated
Audit Firm’s record - Normal
Applicant’s personal record and audit firm’s record – fast track