Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units

failure to comply with, Section 26 and is liable to criminal sanction under Section 66 of the Digital Asset Businesses Emergency Decree, i.e., imprisonment for a term of two to five years and a fine of

unsubscribed portion of IPO securities for their risk management. This is to ensure confidence in the underwriting business and the capital market as a whole; 5. Product innovation ? The ASCO requested support

the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the

following periods. A Business operator, if ready, may apply these rules to the financial statements for the accounting period commencing from 1 January 2019.The consultation paper is available at

With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their

management company paid a compensation of 100 million baht to T.U. Dome for the damage caused by the aforesaid misconducts of such fund managers. The SEC will take further consideration on pursuing relevant

recorded such behavior for future reference if breach of duty is found.  The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

Bangkok, October 29, 2013 ? The SEC is seeking public comment on revising the rules to exempt institutional clients of registered derivatives dealers and derivatives fund managers from doing the

consultant for three months, which is  counted as part of the five-year ban, SEC shall continue to ban her from re-entering the industry for another four years and nine months, starting from 15 January 2020