SEC and the Securities and Futures Commission (SFC) are developing a bilateral agreement for cross-border fund offerings under the HK-TH MRF project with the main objective of facilitating mutual
N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003
Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions
Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and
S D Global S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under
Seandar Inc. Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to
Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003
SAMART TRAFFIC COMPANY LIMITED (SMT) SAMART TRAFFIC COMPANY LIMITED (SMT) offered for sale newly issued securities in the category of debentures and bills without obtaining an approval from the SEC
News Network Corporation Public Company Limited News Network Corporation Public Company Limited (NEWS) offer for sale newly issued securities shares for a private placement without obtaining a prior
Bangkok, July 21, 2014 ? The SEC will allow foreign companies? initial public offerings (IPOs) in Thailand (primary listing) and dual offering of equities in Thailand and other countries