December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of
Bangkok, 11 January 2024 – Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), revealed that during the SEC Board Meeting No. 1/2567 convened today, the
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
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
Bangkok, February 24, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the SEC Board approved to prescribe a depositary receipt (DR) as a security under the Securities and Exchange
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in