The issuance of the notification is in response to the consideration that (1) digital asset traders should be informed about potential risks associated with the use of digital asset storage
members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as
involving booth setups related to investment advice and service solicitation. If it is found that solicitation activities are being conducted by unlicensed business operators or involve investment products
regulations. The major changes that will be introduced by the SEC’s proposal include: (1) To revise the qualifications and licensing process for the securities companies that wish to apply for investment
The SEC emphasizes the importance of supporting relevant parties and key stakeholders in the financial reporting ecosystem to ensure that they are capable of performing their duties appropriately
that investors can have information for decision-making. At the same time, STARK was also instructed to extend the scope of its special audit to cover a number of material issues and clarify related
May 2020, SEC sent a circular to AIMC, the Provident Fund Association and the asset management companies with PVD portfolios, notifying the Notification of the Finance Ministry and requesting that asset
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC is well aware of the importance and necessity in enhancing competitiveness with standardized rules and regulations and convenience to the
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to