three laws were promulgated to support continuing development of instruments and transactions, namely the Derivatives Act B.E. 2546 (2003), the Trust for Transactions in Capital Market B.E. 2550 (2007
. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets
orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or
executive in a securities issuing company or a securities company for 20 months; (2) Sujeera shall pay a civil penalty, a compensation at an equal amount to the benefit received or should have been received
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
a business development policy and revising the regulations for the supervision of SEC. The public hearing from the business sector is in furtherance of the first public hearing on 8 May 2019 in
Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform
adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of Capital Market
business operator who is a wallet provider to enable identification of the clients who make transactions in the system; (3) To prohibit the digital asset business operator from providing
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance