conjunction with Clause 11 and Clause 12 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 32/2559 Re: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and
.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “As cybersecurity attacks can take place at any moment, coming from those using loopholes in technology for the attacks, corporate executives
capital markets in order to reinforce investor confidence and become more attractive investment destination. Vorapol Socatiyanurak, SEC Secretary-General, said that ?ASEAN countries place high
Vorapol Socatiyanurak said that ?Business operators in the capital market have duties under the Anti-Money Laundering Act and the Counter-Terrorism Financing Act. They must therefore have in place sound and
that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment
manipulate the share price of S.E.C. Auto Sales and Services Plc. (SECC) during September 12- November 24, 2008. All said trading activities took place in concealment to mislead the public to believe that the
HouseStyle (Unofficial Translation) EMERGENCY DECREE ON DIGITAL ASSET BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https
capital market. Furthermore, currently business operators can carry out other businesses right away if the conditions are met, whereas TSFC Securities Public Company Limited (TSFC) must acquire prior
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers