Having noticed that some digital asset business operators open trading accounts for minors, on 8 January 2022 the SEC disseminated the circular clarifying the guidelines for providing digital asset
) and organizations of capital market business operators. This aims at preparing Thai capital market?s infrastructure to be more responsive to global changes, enhance flexibility of supervisory structure
Section 90 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) which states that no person shall undertake securities business without license. Violator of Section 90 is subject to penalties under
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for 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, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio inve...
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน “GCNT FORUM 2020: Thailand Business Leadership for SDGs” จัดโดยสมาคมเครือข่ายโกลบอลคอมแพ็ก
SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25