SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of

incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

running the multiple regression analysis. A sample group was collected from share prices of companies listed on the Stock Exchange of Thailand during 2004 ?2013 where the finding showed out that the stock

digital asset mule accounts. Moreover, individuals identified as mule account holders will face restrictions on certain transactions that pose a risk of money laundering. Ms. Jomkwan Kongsakul, SEC Deputy

private sectors, financial institutions and stakeholders in the capital market. On this occasion, Mr. Tayakorn Jitrakuldhacha, SEC Director of the Bond Department, gave a presentation on “SEC’s Role in

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงานสัมมนา “Women in Business: Why Thailand is a success story in women leadership” และกล่าว

a digital wallet management system to accommodate efficient custody of digital assets and keys* and ensure safety of clients’ assets.   The regulations cover the following requirements:  (1)  Policy

company will continue to open the BX.in.th website only as a method for customers to contact the company about outstanding issues…” More details are available at https://bx.in.th/.  With concerns of

2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions