In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf.
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
Audit Firm’s record - Normal
Applicant’s personal record and audit firm’s record – fast track
based on equity method), the record of the total operating profit for the second quarter of the year 2018 was; thus, of 4,242 million Baht. This amount deducted by - FX loss of 445 million Baht; - an
Company and its subsidiaries was 492 million Baht. This amount, included by the gain on sale of investment in JASIF, amounting 1,732 million Baht (calculated based on equity method; whereas, the gain on
transaction based on the criteria under the Notifications on Acquisition or Disposal of Assets and based upon the 3-month interim consolidated financial statements ended 31 March 2020 of the Company, reviewed