Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

of SEC-approved digital assets or under SEC’s supervision. SEC therefore advises investors to be careful if solicited to invest in such products.Investors must be seriously aware of the risks

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual

The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This

The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure

SEC Secretary-General Ruenvadee Suwanmongkol said: “This great opportunity for the SEC to host the IOSCO Annual Meeting for the first time in the history of the SEC since our establishment in 1992

Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to