The web contents are categorized into five key menus featuring more convenient user experience and easier accessibility, namely (1) About Us, (2) Laws and Regulations, (3) News and Market Data, (4) Investors, and (5) Filing of Reports and Applications. There are also shortcuts to frequently searched information. In addition, the new website improves the public hearing channel by offering easier access to consultation papers and more convenient participation in the hearing process. The webs...
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
การปฏิบัติงานโดยใช้อุปกรณ์เคลื่อนที่ (mobile device) และการใช้บริการ cloud computing เป็นต้น จึงเปิดรับฟังความคิดเห็นร่างประกาศหลักเกณฑ์เกี่ยวกับการรักษาความมั่นคงปลอดภัยระบบเทคโนโลยีสารสนเทศของผู้
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client