securities businesses.  The proposed revision covers the principles and the draft Ministerial Regulation for a new licensing scheme whereby an applicant could choose to solely apply for a specific license

choose the persons to operate a business on their behalf in a more flexible manner, whereby the business operators will be able to delegate other persons in respect of work related to the business

intermediary shall arrange for confirmation of the client about such performance by the intermediary. Clause 33 In case of risky or complex capital market products traded on the Stock Exchange of Thailand or a

1 10 November 2017 Subject: Explanation of operating result in the financial statement ended 30 September 2017 To: Directors and Managers of the Stock Exchange of Thailand With reference to the

1 12 February 2018 Subject: Explanation of operating result in the financial statement ended 31 December 2017 To: Directors and Managers of the Stock Exchange of Thailand With reference to the

referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed

Building Confidence in the Capital Market No. 4/2025 SEC notifies EE to rectify financial statements for the year 2023 and Q3 of 2024 Bangkok, 10 January 2025 – The Securities and Exchange Commission

Following a referral from the Stock Exchange of Thailand (SET) in August 2016 and the SEC’s further investigation, it was found that Mrs. Vally Sungsiri and Miss Sunisa Chutinaton conspired together

} Securities Plc., as well as {D}, {E} and {F}, for manipulating RICH share price.With the referral from the Stock Exchange of Thailand on irregular trading in RICH shares by a group of persons from May 10 to

significant  requirements have been added; for instance:- Shares publicly offered must be listed on the Stock Exchange of Thailand;- Regulatory mapping in the area of investor protection must be prepared