Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that {A} had solicited a client to invest in derivatives products by guaranteeing returns; the clien...

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing misconduct, an inspection report from the bank and the SEC's further investigation have revealed t...

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank of Thailand (BOT), conducted a series of financial literacy lectures for the public on the topic “Deposit Protection and Consumer Protection in Financial Services.” This initiative aimed to enhance the understanding of financial planning and goal setting, as well as to raise awareness of inves...

KWI to conduct a special audit on the matters above, with specific examination of facts over the past three years. To ensure auditor independence, this special audit must be performed by one of the Big

The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General for Strategy and Planning, received the Best Conduct of Business Regulator in Asia

Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become

with the disclosure in SAM’s financial statements, the SEC, by virtue of Section 58(3) of the Securities and Exchange Act B.E. 2535 (1992), has instructed SAM to conduct the special audit on the

conduct of derivatives brokers as follows: 1.    Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant

conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading