With the opening keynote speech given by Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, the seminar is aimed to provide the public and private sectors, state
Bangkok, June 25, 2012 ? The SEC Board and the Capital Market Supervisory Board resolved to specify types of accredited investors (AI) and allow an offer for sale of the following products to AI: (1
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
month.?The SEC, BSA and technology experts from the private sector will jointly organize the seminar for directors, executives and employees of listed companies to create awareness of the ever-increasing
public offering (IPO) companies. The purpose is to ensure that CFOs and accountants clearly understand the expected roles and responsibilities in preparing financial reports and internal control system
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet