Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...

for its operations, is liable for the case in which BLS had inadequate supervisory controls over investments held as assets of its executives, resulting in insufficient safeguards against conflicts of

to prepare an audit plan that appropriately reflected the relevant risks. The audit procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.30

, Bitazza's advertisement review process was inadequate. As a result, advertisements published during this period contained contents that could encourage or imply guaranteed returns from investments in

procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 12

convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee

preparing, approving, and supervising advertisements. In particular, Bitazza's advertisement review process was inadequate. As a result, advertisements published during this period contained contents

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow,  which needs the collaboration among sectors, including the PVD members, who are employees in