Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019
Formax International Advisory Services (Thailand) Co., LTD. : Unlicensed securities and derivatives business (Disclosure Date : 06/03/2015)
Facebook page "Hua Seng Heng Financial Advisory" : Unlicensed securities and derivatives business (Disclosure Date : 03/10/2025)
The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement
แผน Portfolio Advisory และ Program Trading ได้ โดยไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ประเภทจัดการกองทุนส่วนบุคคล หรือผู้จัดการเงินทุนสัญญาซื้อขายล่วงหน้าตามลำดับ ซึ่งหลักเกณฑ์ดังกล่าว มีผลใช้บังคับ
SEC Thailand Assistant Secretary-General, Mrs. Charuphan Intararoong opened the event with remarks highlighting the growing importance of ESG in enhancing market resilience and investor confidence. She expressed gratitude to Mr. Richard McGillivray, Senior Director of Product Advocacy and Education for Asia Pacific at CFA Institute, for his valuable contributions. Mr. McGillivray led interactive sessions, including workshops and case studies, that engaged approximately 200 industry partic...