Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
) business operator to verify the facts of the incident and report to the SEC without delay. Furthermore, the SEC has instructed the DA business operator to provide information and respond to the service users
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
Cryptosphere and ROE.” The SEC has therefore instructed ERX to clarify the facts regarding the presence of a director serving on the boards of the two aforementioned companies, which are its major
facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led
liable to the offenses under the Securities and Exchange Act B.E. 2535 (1992)(SEA), as summarized below: 1. Concealing material facts regarding the interim dividend payment before the IPO, which should
submission of an incorrect 56-1 One Report for the year 2022 and the disclosure of false information or concealment of material facts that should have been disclosed, in violation of Section 56(3)(4) and
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
proper qualifications for business undertakings, in terms of operational systems and personnel, i.e., the absence of fund managers for continuous client support even though there were trading transactions