personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E

account costs and benefits of the proposed revisions and necessity to maintain fairness in the capital market.The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are

fund (RMF) and maintain the same benefits given to active PVD members in the event that the employers? PVD is dissolved or the employees? membership ends. The Capital Market Supervisory Board (CMSB) has

consider and approve the following matters:      (1)  Exemption from an event of default for the bond issuer’s  non-compliance with the requirement to maintain the Interest-Bearing Debt to Equity Ratio of

for consideration of approval as follows:   (1) A waiver in the case where the bond issuer is unable to maintain an interest bearing debt to equity ratio not exceeding 3:1, as reflected in the