Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
Bangkok, February 20, 2013 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against three unlicensed derivatives business operators, namely
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...