The Securities and Exchange Commission, Thailand (SEC), organized a study visit for the Securities Commission Malaysia (SC Malaysia), led by Dato’ Mohammad Faiz Azmi, Chairman, along with senior
89/7, Section 307, Section 311, Section 312, Section 313, Section 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) and Section 83, Section 86 and Section 91 of the Penal Code, as the
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัด Study Visit ให้แก่หน่วยงานกำกับดูแลตลาดทุนมาเลเซีย (SC Malaysia) นำโดย Dato’ Mohammad Faiz Azmi, Chairman พร้อมทั้งผู้บริหารระดับสูงของ
appropriateness; (2) Adjusting the haircut rates for certain types of securities concerning position risk*** and specifying appropriate haircut rates for position risk of stocks traded on LiVE Exchange and
Bangkok, May 7, 2013 ? The SEC has encouraged securities companies to prepare company reports on top 10 or 20 securities with active trading volumes to provide investors with sufficient information
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete