Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
-General revealed that the Capital Market Supervisory Board approved to revise investment rules for mutual fund, private fund for retail investors and provident fund to support the funds? investment in
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
limitations. As a result of this proposed amendment, the Regulatory Sandbox would cover both pre-trading and post-trading activities in the capital market. The consultation paper is available at https
Bangkok, 10 January 2017 ? The SEC has announced the three-year strategic plan (2017-2019), which focuses on driving the Thai capital market competitiveness with financial technology. The plan aims
guidelines and market development.SEC Secretary-General Rapee Sucharitakul said: ?The amendments which have been approved recently by the Capital Market Supervisory Board aim to increase competitiveness of the
activities in the capital market from pre-trading to post-trading. Thus, business operators possessing useful innovations for investors will have the opportunity to participate in a regulatory sandbox in a
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote