Bangkok, 25 January 2018 ? The SEC is seeking public comments on a draft amendment to the rules governing issuance and offering of derivative warrants (DW) to require additional and continuing

.Earlier, the SEC ordered KC to have a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records

Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients

In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a

Section 289 of the SEA, namely imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, and a further fine not exceeding 10,000 baht for every day during which the contravention

@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection.  Investors and the public can file a

act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

technology can be a great help to business fundraising, SEC will host a series of online seminar to share knowledge and information on how to leverage the use of FinTech to access sources of fund.The SEC

to facilitate organization of seminar, preparation of investment manual for dissemination to investors and general public, function as a center for conducting suitability test for investors and provide

within the specified time.  The aforementioned activities of {X1} is liable to operating digital asset business in the category of digital asset exchange without license, which is a violation of, or