exemption are as follows:             (1)  Rules that carry the material context similar to that stated in the Securities and Exchange Act B.E. 2535 or the Derivatives Act B.E. 2546 or the regulations

, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis;             (2) Provision that will

acquisition of assets under the Notification of the Capital Market Supervisory Board No. TorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets (as amended

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

Committee has conducted a public hearing in this matter to seek comments from state officials, stakeholders of respective agencies, service users and the public.  In this regard, SEC has drafted the SEC’s

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

practices.In a matter of the proposal of agenda items by shareholders under Section 89/28 of the Securities and Exchange Act B.E. 2535 (1992), SEC considers to impose a specific period for proposing agenda

of the federation. And members of the Federation will comprise founding members and ordinary members.  The consultation paper regarding this matter is available at https://www.sec.or.th/TH/Pages

Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch

another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months