Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
Bangkok, 25 July 2023 – The Securities and Exchange Commission (SEC) has announced the 2024 holiday schedule for securities companies and derivatives business operators, as follows: 1. Monday 1
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
SEC is conducting a public hearing on draft notification on financial statement forms for securities companies and derivatives business operators to be in line with Thai Financial Reporting
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
The Securities and Exchange Commission (SEC) has considered it appropriate to designate 5 May 2023 as an additional special holiday for securities companies and derivatives business operators in line
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may