According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Bangkok, 6 January 2021 – This is with reference to the Cabinet’s resolution on 29 December 2020, approving additional public holidays and deferring the substitution holiday for Chulalongkorn Day
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
. This time, SEC establishes the regulations concerning related businesses for applicants requesting operating licenses. Such businesses include standards for operating businesses and work systems
Bangkok, 31 January 2019 ? The SEC has declined the request from Energy Earth Public Company Limited (EARTH) to extend the deadline for reporting the re-assessment results of the fair value of the
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
On 7 April 2022, the SEC Board Meeting No. 4/2565 approved the exemption for the filing of the registration statement for rights offering (RO) and ESOP of repurchased shares on the condition that
The Securities and Exchange Commission (SEC) has convened a meeting with the Association of Investment Management Companies (AIMC) to discuss policy directions for developing asset management
companies of relevant guidelines to be implemented in the same direction. For example, guidelines for mitigating the risks of COVID-19 spread when AGM is held and guidelines for supporting proxy voting. In