complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading
Building Confidence in the Capital Market No. 22/2018 SEC instructs EARTH to clarify the existence and the fair value of mining property rights Bangkok, 16 March 2018 – The SEC has instructed Energy
Building Confidence in the Capital Market No. 37/2018 SEC extends deadline for EARTH to clarify the existence and the fair value of mining property rights Bangkok, 12 April 2018 – The SEC has granted
received must not be lower than investment grade; (2) To appoint a bondholders’ representative; (3) Bonds must be registered with the Thai Bond Market Association.In addition, SEC also amends the scope
Following the issuance of regulations on information technology systems in 2022*, the SEC recognizes that the current rules should be updated to enable business operators in the capital market to
Vorapol Socatiyanurak. FATF began assessment on the countries? counter-measures against money-laundering and terrorist financing in 2007, the result of which showed the highest score of compliance with
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
the required additional margin is posted by Monday, 31 March 2025, before the market closes.Additionally, this situation may prevent clients who wish to roll over their expiring derivatives contracts
security pitfalls previously causing IT incidents in the capital market, and (4) the updated IT rules and guidelines issued by other regulators in the financial sector. The intended outcome is to accomplish