The Securities and Exchange Commission (SEC) organized a co-creation workshop in collaboration with wealth advisory businesses to promote business operations focusing on putting investors first
Merkle Capital Company Limited Between November 25, 2024 and January 20, 2025, Merkle Capital Company Limited (''Merkle''), a digital asset exchange, as a digital asset fund
Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee
Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
substitution holidays later when deemed appropriate. By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Paragraph 1 of Clause 2 of the Notification of the Capital Market Supervisory
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification