According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and

Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak

Line at 1207 for further inspection. Any act found to be liable to an offense under the Securities and Exchange Act B.E. 2535 (1992) may be subject to legal action under the law, with both

Center via 24-hour Hot Line at 1207 for further inspection. Any act found to be liable to an offense under the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003) or the

the COVID-19 pandemic, issues relating to remote working, operational resilience, and fraud and scam inspection will also be discussed. On 11 March 2021, EU-Asia Pacific Forum will be held and

be certified or registered and subject to inspection by relevant governmental agencies, strict supervision imposed on limited companies or public limited companies should not apply. This would allow

sector. In addition, as SEC has measures for monitoring and inspection of reports, data, including business standards and ethics of the securities companies, it is able to ease the rules to better

principles of technology usage;(3)    Allow fund managers or securities analysts to participate in fintech development/application processes;(4)    Have a control and inspection system for algorithm

securities analysts to participatein fintech development/application processes;(4)      Have control and inspection system for algorithm;(5)      Have data management and governance;(6)      Disclose scope

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior.  The SEC found from its routine inspection that {A