derivatives business operators, and to defer the substitution holiday for Chulalongkorn Day from 25 October 2021 to 22 October 2021 in line with the Cabinet’s resolution.___________________________

Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

derivatives trading decisions on the client's behalf.  Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such

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

As part of its review of the definition of major shareholder applicable to derivatives business operators required to obtain approval, the SEC aims to ensure that the definition appropriately

business operators default on cash settlement or physical delivery with the derivatives clearing house or their clients in case of derivatives business operators, unless such default is not caused by

In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors, intermediaries have adapted in response to such changes. For example, restructuring affiliated companies and optimizing the use of human resources to serve business expansion, including diversification of products and services.  The SEC is therefore proposing to amend the regulations on the appointment...