DERIVATIVES TRADING SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning derivatives (contract), derivatives business
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,254,024 baht on Sermkhun Kunawong, Chief Executive Officer and Director of CMO Plc. (CMO) for using
auditor?s findings in the audit of the company 2014 financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was
region with foreign investment funds as well as using mutual funds to help solve a lack of savings. Vorapol Socatiyanurak, SEC Secretary-General revealed after the last quarterly meeting of 2014 with the
SEC Deputy Secretary-General Tipsuda Thavaramara revealed that SEC has launched an automated data distribution system, or SEC API, to enable easy access to SEC’s information or third party
Limited (BSEC) based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed
reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
Limited (TIES*), and his aider Ms. Ornsiree Chinkamtornwong, for using inside information to sell the company?s shares. Following the SET?s referral, the SEC?s further investigation revealed that Assavin