evidence, SEC has found that Artit gave investment advice and solicited the general public to invest in securities and derivatives. In so doing, he used the Japhoon Facebook account as an advertising channel

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

outstanding balance in the derivatives account.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

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