three years or upon occurrence of a widespread adverse incident; (2) To adjust the submission schedule for the Risk Level Assessment (RLA) report and IT audit report to be within the same period (during
new clients during the account opening process. Hence, such information must be accurate, complete, up-to-date, and clearly separated from other information. In case of significant revisions/updates
Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
risk management. SEC subsequently conducted a public hearing on the approved principles during the months of April and May 2020 to which all respondents agreed with the principles for amending the repo
SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019
onwards. In considering these amendments, SEC has taken into account opinions received from business operators and related parties during the public hearing which took place earlier.________________________
The Office of Securities and Exchange Commission (SEC) has been notified by the Stock Exchange of Thailand about the artificial appearance of ACD shares during the end of year 2014 causing by the
200,000 to 500,000 baht, and a further daily fine not exceeding 10,000 baht for every day during which the contravention continues. ________________________Remarks:- The Ministerial Regulation Re