SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital asset business, and the requirement that any business operator that cannot maintain its net capital...
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, June 12, 2015 ? The Supreme Court of Thailand sentenced Kanchana Laowtrakul to a five-year imprisonment without probation for aiding and abetting Nuprapat Snidvongs Na Ayudhya in seeking
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing
On 20 November 2023, JKN submitted information through the SET Electronic Information System regarding an issue where certain board members did not receive the invitation to the Board of Directors meeting for the consideration of the business rehabilitation petition. This incident played a role in the resignation of some JKN directors. In this regard, JKN explained that the decision not to send a formal meeting invitation was prompted by the urgency of the matter. The meeting was therefore condu...
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and
Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the