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
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
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
the preparation of a national seminar titled “Human Rights: Driving Thai Listed Companies’ Competitiveness toward Sustainability”, based on the UNGPs. The seminar will be held on 31 May 2019 at 8.30
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
Bangkok, 19 September 2018 ? The SEC teamed up with the Stock Exchange of Thailand and the Securities Investors Association (Singapore) to organize an international seminar on ?Building Trust in a
, on 15 March 2018, the Civil Court made a decision to void the resolution of the annual general shareholders? meeting held on 2 May 2017, which has consequently resulted in the cancellation of Mr
Mr. Worrapat Pensawang, First Secretary, the Royal Thai Embassy, Riyadh, the Kingdom of Saudi Arabia, paid a courtesy call to His Excellency Mohammed Bin Abdullah El-Kuwaiz, CMA Chairman, Mr. Khaled
Bangkok, June 21, 2016 ? The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset