transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations.   In this regard, SEC has reviewed regulations on the operation of investment management business as presc...

NBC will hold the AGM 2020 to seek approval for the acquisition of “Komchadluek” trademark from NMG at the amount of 69.9 million baht and the acquisition of assets and business under the “Komchadluek” trademark from Komchadluek Media at the amount of 100,000 baht, resulting in the total acquisition value of 70 million baht. NBC’s Board of Directors and the Audit Committee view that the entry into the acquisition of business and the trademark of Komchadluek is appropriate and beneficial fo...

Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities

mutual funds under management of the same asset management company only up to two tiers for general mutual funds may not be flexible enough.  The SEC has therefore revised the governing rules in this

customers, certain details of these rules are not in line with the Framework of ACMF. SEC therefore proposes to prescribe additional rules specifically applicable to the professionals from ASEAN countries

exchanges regarding service provision related to utility tokens and certain types of cryptocurrencies media trends;    (2)  Fan token: tokenized by the fame of influencers;    (3)  Non-fungible token (NFT): a

asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a

asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a

the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flexible and suitable to the current market trends. This latest draft amendment has already taken into