incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working

GJS will seek the annual general meeting’s resolution to ratify the financial support transaction for GSTEL in the form of short-term loan worth not exceeding 94 million baht without any collateral

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations

As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision

In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business

. Thakorn Taweesri and (5) Mr. Danuj Bunnag. As a result, they were deemed to have untrustworthy characteristics to become company directors or executives and were banned from serving as directors or

SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to

SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to