characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
The SEC’s examination of facts in this case has led to the consideration that Zipmex disseminated or certified information that were potentially misleading in substance regarding digital asset
The SEC’s examination has revealed that GIFT’s 2021 annual financial statements showed a significant decline in performance, prompting a detailed investigation. The findings revealed that during 2019
in the occurrence of an Automatic Stay, and subsequently affecting the payment of interest and the repayment of all outstanding JKN bonds. The Court set the date for the examination of the JKN
Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s
in exchanging news and information on capital market supervision and development, and rendering assistance in examination to the extent permitted by each country?s laws. In addition, the MOU will pave