damage to investors. During these transactions, SET, after having found such trading orders, had given warnings to four securities companies that provided trading service to Surin, but SET still found
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
Bangkok, January 22, 2014 ? The SEC is seeking public comment on proposed revision to the rules of customer contact and service for all licensed business operators to standardize the relevant
this information service system will act as the information infrastructure for the financial sector and capital market allowing the private sector to use it in business expansion and capital market
in business operations and encourage business operators to set effective standards of custodian servicesIn addition, in order to prevent assets for the person authorizing the management of the
in business operations and encourage business operators to set effective standards of custodian services.In addition, in order to prevent assets for the person authorizing the management of the
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
exchanges or related persons. In addition, a digital asset exchange has to set the requirement that the digital token issuer who is the exchange itself or related person comply with the white
Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain