Bangkok, 6 February 2024 – The Securities and Exchange Commission (SEC) has provided an update on the progress of initiatives aimed at enhancing the quality of listed companies and the duty performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A recent development in this area is the SEC Board’s approval of amendments to the Stock Exchange of Tha...
news updates and prepare documentation regarding their bondholding in case it becomes necessary to confirm their bondholder status. Additionally, the bondholders should study their rights under the
On 11 December 2019, the SEC Board passed a resolution approving ThaiBMA as a licensed securities depository under the regulatory sandbox project whereby blockchain technology is implemented to enhance the speed and efficiency of the trading process of corporate bond. Currently two companies have issued and offered corporate bonds for sale using the blockchain system of ThaiBMA, namely (1) Toyota Leasing (Thailand) Co., Ltd. offering corporate bonds exclusively to institutional investors...
Bangkok, 28 February 2019 ? The SEC has updated the list of cryptocurrencies eligible for initial coin offering (ICO) investment or value comparison as base trading pair against other digital assets traded on digital asset exchanges. As a result, the current list comprises four cryptocurrencies, namely Bitcoin (BTC), Ethereum (ETH), Ripple (XRP) and Stellar (XLM).In any case, it should be noted that the announcement of such cryptocurrency list is not a certification of their legal tender status....
PFS International Consultants Limited Website: www.pfsinternational.co.th : Unlicensed securities and derivatives business (Disclosure Date : 04/02/2015)
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securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one