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SEC revokes approval of an investment consultant for trading derivatives through client?s account for his own benefit

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5396

SEC’s public hearing on proposed principles and draft regulations on Approval of Newly Issued Shares by Holding Company.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=869

SEC Thailand’s public hearing on the proposed amendments to fast track approval for mutual fund establishment regulations

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=929

SEC Thailand’s public hearing on the amendments of Digital Asset Exchange rules (Exchange rules) and the approval process

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=1004

Investor Alert : Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919"

Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=0603&CaseYY=2568

กลต.น. 959/2547 เรื่อง การลงทุนในตราสารหนี้ที่มีการจ่ายผลตอบแทนอ้างอิงกับตัวแปร (Structured Note) เพื่อเป็นหลักทรัพย์หรือทรัพย์สินของกองทุนรวม กองทุนสำรองเลี้ยงชีพและกองทุนส่วนบุคคลที่มีมูลค่าการ

http://law.sec.or.th/content/5213/8322/1#8322

SEC urges SABUY shareholders to exercise voting rights on the proposed acquisition of LOCKBOX and LOCKVENT ordinary shares, which IFA advises against approval

approval for (1) the private placement of 350 million shares together with 350 million warrants to Insignia Holding Limited (Insignia) (solely owned by Ms. Miss Ketsara Lothongkam), and (2) the private

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11241

SEC advises EVER shareholders to vote on a proposed purchase of land and buildings from a connected person, deemed inappropriate for approval by IFA

on the current condition, and 30,000 baht / square wah* in case of approval granted to the land development. The appraisal prices above were proposed by T.A. Management Corporation (1999) Co., Ltd

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10725

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

SEC amends requirements on approval of auditors in the capital market to be consistent with current auditing practice and circumstances in Thailand

SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8913