Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed

Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok

Earlier, SEC had considered the amendments to the rules relating to net capital requirement for securities and derivatives business operators, and published a public hearing in 2019 which covered

Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed  revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for

, and using inside information for trading Roynet shares in violation of Section 300 with Section 56, Sections 59, 238, 241, 246 and 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The

line with the ever changing market environment.”   Starting from 2022, attending and passing the ESG compulsory training course every two years will be a requirement for renewal of approval for capital

covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of

capital that reflects risks associated with custody of clients’ assets and helps bring good risk management. Net capital (NC) requirement will be applied for the digital asset businesses. Such digital

According to the first paragraph of Section 23 of Provident Fund Act, when an employee’s membership terminates on a cause other than the dissolution of the fund, the fund manager shall make

own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make