services of securities firms.  Vasant Thienhom, Deputy SEC Secretary-General said, ?The SEC found that some investors have solicited other investors and investing public, either verbally or through LINE as

  Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board's Meeting that the Board resolved to amend the underwriting rules and

Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board?s Meeting that the Board resolved to amend the underwriting rules and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

investment consultant of Asia Plus Securities Plc.  Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading

order or act duty resulting in Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

announcement that the IOSCO, having considered that the Thai SEC has in place international standards of information sharing and exchange mechanism in line with the IOSCO benchmarks, had approved for the Thai

Bangkok, February 13, 2015 ?Current regulations prescribe that a mutual fund must be dissolved if more than two-third of all the units sold were redeemed. The rationale behind the said regulations is