Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
Bangkok, 3 November 2017 ? The SEC emphasizes the importance of information disclosure in the registration statement and prospectus so that investors will be able to access complete information before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their interest before deciding to invest. In case of IPOs, investors can access important information in the p...
Bangkok, 16 November 2017 ? The SEC has notified Pace Development Corporation Plc. (PACE) to clarify the assumptions used in the fair value measurement of its investment in Pace Project One Co., Ltd
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the
นางสาวสุชา บุณยเนตร ผู้อำนวยการฝ่ายพัฒนากฎเกณฑ์ 1 เข้าร่วมประชุม OECD ว่าด้วยการระดมทุนและการลงทุนที่เป็นมิตรต่อสิ่งแวดล้อม (OECD Forum on Green Finance and Investment 2019) ในระหว่างวันที่ 29-30 ตุลาคม
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial
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Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units