On 26 October 2022, the SEC Thailand led by Ms. Ruenvadee Suwanmongkol, Secretary-General, and Mr. Pornpong Sakdapat, Assistant Director of the Investment Management Policy Department, together with

the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by

and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters:  (1)  deficient due diligence on a transaction of

derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The

Bangkok, July 27, 2016 ? The SEC is seeking public comments on the proposed revision to the rules on the issuance and offering for sale of derivative warrants with regard to disclosure and additional

winner conducted securities analysis on CP ALL Plc with support of their faculty advisers Pantisa Pavabutr and Anchada Charoenrook, industry mentor Deputy Vice President of Tris Rating Co., Ltd. Yingyong

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

required to report the Stock Exchange of Thailand (SET) and propose to the shareholders? meeting for approval. During the said transactions had been made, SCAN never complied with such requirements

opened in his name and facilitating relevant financial transactions. His action was considered a contravention of Section 243(1) in conjunction with Section 244 and 243(2) of the Securties and Exchange Act

interested can submit an application form along with additional documents from August 1-15, 2011 to Corporate Affairs Department, SEC Office, 16th floor, GPF Building, GPF Witthayu Building, Wireless Road