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
a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for
operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2. An applicant for the registration as a derivatives
capital market, it was found that over 76,000 accounts had started investing in stock with over 100,000 fund accounts, which is the most a province in the Northern region has. Moreover, in the last 5
, increasing fundraising efficiency and business opportunities, enhancing competitiveness, and building market infrastructures for the digital age.?The SEC is becoming an adaptive regulator for the future of
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate
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
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio