Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as
Bangkok, July 22, 2014 ? The SEC is seeking public comment on proposed rules, conditions, and procedures for information disclosure in financial statements and operational result of foreign
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test
Bangkok, August 19, 2013 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} on the ground to believe that he sold {X1} Plc. shares by using non
Bangkok, July 15, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing counting unitholders? votes in case of multi-class funds, including retail funds, property funds
Bangkok, March 3, 2015 ? The SEC organized ?1st SEC Working Papers Forum, 2015? where the Faculty of Commerce and Accountancy, Chulalongkorn University presented research papers on ?Impacts of