Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
Silver Line Trading Intertrade Co., Ltd. Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Pursuant the Digital Asset Business Law, as amended, digital asset business operators having any of the following characteristics are deemed to be providing services to persons in Thailand, which
SEC Secretary-General Rapee Sucharitkul said that SEC has issued the notification relating to business operations of digital asset business operators under the royal decree on digital asset
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act