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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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8754

SEC sanctions an investment consultant for taking orders from unauthorized person

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5889

SEC requests the public prosecutor to bring the case to the Civil Court against a person for PICO price manipulation and reports the case to AMLO

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8582

SEC requires Zipmex to update moratorium proceedings to ensure clients’ right exercise within deadline

Bangkok, 30 July 2022 – with reference to Zipmex Group’s announcement on its website www.zipmex.com regarding its submission of moratorium relief for its businesses, including Zipmex Thailand, to the Singapore Court, the Securities and Exchange Commission (SEC) sent a written notice on 28 July 2022, requiring Zipmex to clarify the matter. Today, Zipmex Group has updated the progress on the moratorium proceedings dated 29 July 2022 on its website at www.zipmex.com. The SEC has therefore instruc...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9554

BOT, SEC, OIC and PDPC form joint cooperation to ensure personal data protection in the financial sector

. This collective cooperation will ensure consistency in the supervision and protection of personal data in the financial sector without redundancy, while reducing burdens or costs of business operators

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9412

SEC public hearing on proposed amendments to IT Standard Rules to ensure business operators’ IT security and investor confidence in the capital market

technology; (2) Defining clear roles, responsibilities, and involvement of the board of directors, including the governance body, to ensure secure, effective, and efficient IT practices and usage in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9420

SEC Thailand public hearing on proposed requirements for derivatives business operators under the Derivatives Act B.E. 2546 (2003) to ensure clearer management of customer assets

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=903

SEC sets up a special support team to ensure investor protection after Bitcoin Co. Ltd. (BX) announces cessation of digital asset exchange services as of 30 September 2019 whereby clients will no

investor protection in this regard, the SEC has set up a special investor support team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets. The 24-hour

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7647

Readers should be aware that only the original Thai text has legal force and that this English trans

Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker

https://publish.sec.or.th/nrs/4490pe.doc

Readers should be aware that only the original Thai text has legal force and that this English trans

______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore

https://publish.sec.or.th/nrs/4490pe_r.pdf