Facebook page "GF Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 01/04/2026)
Bangkok, October 5, 2015 ? The SEC notified Polaris Capital Public Company Limited (POLAR) to submit and clarify all information within seven days as well as ordered the approval of POLAR capital
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Facebook page "GF Futures Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 27/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 02/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 04/03/2026)
Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...