}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written  authorization letter. From the recorded conversation

Bangkok, October 18, 2011 - SEC Secretary-General Vorapol Socatiyanurak reveals the plan to take proactive role to support the growth of the Thai capital market by means of  increasing capital market

TFEX?s officers and executives at all levels to seek an immediate clarification. The SEC received a preliminary explanation on the cause and later detail explanation and improvement measures. The SEC met

. We take into serious account technological developments and promote competitiveness of the Thai capital market in consistent with the emerging digital disruption. This plan has received support and

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 June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards

includes inspection of audit firms’ quality control systems, which has been running since 2010.  According to the Activities Report 2021, audit firms in the capital market have continued to improve their

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

were three participating companies which received a back-to-back recognition and certificates from the SEC in the third and fourth quarters in 2023, namely 1) Gmo-z Com Securities (Thailand) Public Co

of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC