worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and
The SEC Board has passed a resolution approving in principle the proposal to amend the Ministerial Regulations on Licensing of Digital Asset Businesses B.E. 2561 (2018) and relevant regulations to promote fundraising and investment in investment tokens and to support interested securities business operators in providing services related to the said products. This in turn would increase access channels to investors in both primary and secondary markets. The SEC is therefore conducting this public...
seminar co-hosted by PAPC, SEC, Faculty of Law, CU, FPTI and ACIOA shows the vigorous sign that all sectors place importance to and recognize benefits of personal data protection. In addition, the first
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
%, consistent with robust global economic expansion and strong growth momentum from last year. A robust global economy will support Thai merchandise exports to grow by 4 .8% annually together with the tourism