securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
strategies for biodiversity. On behalf of the SEC, Ms. Areewan Aimdilokwong, Assistant Secretary-General, reaffirmed the SEC's commitment to contributing to the drive towards promotion of financial strategies
strategies for biodiversity. On behalf of the SEC, Ms. Areewan Aimdilokwong, Assistant Secretary-General, reaffirmed the SEC's commitment to contributing to the drive towards promotion of financial strategies
, the hypothesis of an algorithm, any relevant risks, including the factors or events that would hinder the use of technology. This is to provide investors with sufficient information to decide to use
Bangkok, September 23, 2015 ? Mr. Pariya Techamuanvivit Director, Corporate Affairs Department revealed that the SEC is currently seeking public comments on the draft rules regarding underwriting
Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions to the rules concerning definition of investors and investment of mutual funds in line with international standards
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers