Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to

related sectors, both public and private. The need of SMEs to improve their capability to increase their attractiveness and competitiveness aligns with OSMEP’s policy direction that focuses on 3 issues

The SEC is also working with the DSI in accordance with the bilateral Memorandum of Understanding for Cooperation to investigate EARTH’s suspicious acquisition of the legal rights over coal mines in

. In this regard, investors are advised to exercise discretion in case of encountering solicitation for such investment.   In any case, investors can check the list of securities business operators

SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25

Bangkok, March 10, 2014 ? The SEC jointly with the Association of Investment Management Companies (AIMC), the Stock Exchange of Thailand (SET), the Thai Bankers? Association (TBA), the Association of

Champeeratana said: “The landscape of the Thai capital market is constantly changing and becoming more complex. SEC’s role is to lay out directions and policies adaptive to such change and in line with the

the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th

Socheat and the executives of SECC  in July 2019, with a view to strengthen relations between the organizations and encourage concrete cooperation  for the development of both capital markets in the long