, name and contact address of clients in Thailand, records of their meeting with clients, lists of tradable securities, and records of investment fees charged on clients. SEC also finds that Broadgate

“This MoU reiterates the SEC Thailand’s dedication and extensive efforts with respect to the strategic plan on digital technology and sustainable capital market. It has indeed come at a crucial time

opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC

Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due

in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to

alternative vehicle to manage their liquidity and to put their money away for a short time, besides bank deposits. Earlier, SEC conducted an opinion survey and also worked with the Association of Investment

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the

while concealing their trading activities to mislead the public regarding the share price and trading volume of BA. Consequently, the BA price and trading volume became inconsistent with normal market

incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility