Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
as well as listed companies, supporting sustainable development of Thai capital market. Vorapol Socatiyanurak, SEC Secretary-General, said the revamped ?CG Thailand? website serves as the information
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
greater use of trust for transactions in capital market.?????????? Vorapol Socatiyanurak, SEC Secretary-General revealed that the SEC Board approved to allow PE set up as trust, apart from being structured
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
benefit of themselves or others. The SEC therefore imposed the following sanctions:*Revocation of {C} and {D}'s approval status as capital market investment consultant and will not consider their