new services or investment tools; (2) Artificial Intelligence (AI) & Machine Learning (ML): To promote the use of AI/ML for developing market innovations, for example, AI/ML-based investment and risk
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
Baht 2.4 million due to certain items of equipment were fully depreciated but are still in use. The interest expenses in 2018 was Baht 11.5 million, or 19.94% decreased from Baht 14.3 million of 2017
the offering of capital shares to the group of persons and the price thereof as mentioned above to gather complete information before making a decision and passing a resolution
on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without
Microsoft Word - MDA_Q2 2017-in Thai แก้ไข _ use this file_ HPIR015/2017 วนัที 10 สงิหาคม2560 เรือง คาํอธบิายและวเิคราะห์ของฝ่ายจดัการประจํางวด สินสุดวนัที 30 มถิุนายน 2560 เรยีน กรรมการและผูจ้ดัการ
This regulatory guillotine discussion is the first in the virtual talk series under the theme, “How to Regulate to Earn Investor Confidence and Global Competitiveness.” The main objective is to
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the