According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
SEC Secretary-General Ruenvadee Suwanmongkol said, “As I have taken a job as head of SEC since early May, I commit myself to work closely with SET on holistic approach in order to enhance
is designed to encourage and support capital market intermediaries to have a cyber resilience, as well as to prepare playbook for cybersecurity incidents, which is an important part of the
mutual agreements to achieve rapid results, such as the project of “One-Stop Service” that was officially launched on 24 September 2019 and the project of “One Report” which will organize a seminar for
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
2012 issued regulations on the offering of ASEAN CIS to non-retail investors. This new regulation will be a codified set of new and existing regulations to accommodate both offerings to retail and non
stage, an offer for sale of ASEAN CIS will be allowed only to institutional investor and high net worth individual as they can take care of and protect their own benefit and are capable of assessing
. In this regard, the SEC has urged all investors to be more cautious in their securities trading and consider fundamental information sufficiently before making an investment decision. This will help to