an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

year from the effective date of the Guidelines, to allow the subscribers appropriate time to develop NDID-compatible systems, as required.   The amendments would also streamline the ID card dip chip

Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration

SEC Secretary-General Ruenvadee Suwanmongkol gave an opening remarks and co-chaired the 5th EU-Asia Pacific Forum on Financial Regulation with Mr. Ugo Bassi, Director of Financial Markets, DG FISMA

Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on {A} for using inside information to purchase {X1} Company shares for his own benefit.With

a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that

repay the debt within time specified and operate the business on a continuous basis. Furthermore, the asset disposal above helps reduce the risk from the management of the financial structure, resulting

, held on 28 February 2018 because in practice the “base price” approved in Agenda 3 of such meeting was not in line with the market conditions of each asset at the time of the bidding. The Board of

in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading