The SEC, at the meeting No. 11/2022 on 15 August 2023, resolved to approve the principles for revising the net capital rules* specifically on the use of subordinated liabilities in maintaining net
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
, morality and ethics, which will be useful for the fourth and fifth-year reserve officer training cops students to live their lives and do their work in the future. The SEC officials will give lectures on
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company
Bangkok, 2 September 2016 ? In preparing the workforce for their retirement, the SEC is encouraging employers from both public and private sectors to support their employees? retirement savings
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing
) Mr. Natee Panichewa, and (4) Mr. Kerati Panichewa for selling shares of Dhipaya Insurance Public Company Limited (TIP) based on nonpublic information.Following a referral from the Stock Exchange of