Facebook page "Amz-Lover Coffee" impersonates "PTT Oil and Retail Business Plc." : Unlicensed securities and derivatives business (Disclosure Date : 01/04/2025)
Application อ้างชื่อ FundesTH และ Line อ้างชื่อ FUNDESTH : Unlicensed securities and derivatives business (Disclosure Date : 11/04/2025)
WIW 2024 will be held during October 21 – 27, following the guidelines of the International Organization of Securities Commissions (IOSCO), which encourages global regulators to support the WIW campaign promoting financial literacy and consumer protection. The initiative aims to raise global awareness, in line with the SEC’s efforts to enhance financial literacy, improve technological knowledge and skills in capital market services (digital literacy), and strengthen consumers’ defenses ag...
In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...
Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC conducted a public hearing on a proposed amendment to the regulations on custody of clients’ assets....
opportunities focus on benefiting vulnerable communities.The Thailand Map, which joins 19 other country SDG Investor Maps housed on the SDG Investor Platform, has been developed by deploying a vigorous research
investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนาออนไลน์ “เรื่องลงทุน กับคนรุ่นใหม่” (Young Investor Day) ซึ่งเป็นส่วนหนึ่งของกิจกรรมในช่วงสัปดาห์รณรงค์การลงทุน World Investor
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to close the position of derivatives contract with SET50 underlying at-the-open (ATO) price as soon as the trading session began.* However, since the client sent the order after the trading had already begun, {A} could not execute the ATO order in time and decided to execute the order at the market price...