? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
the athletes participating in the Thai Securities Companies Association (TSCA)’s Broker Badminton Championship 2024 to compete for the royal trophy under the patronage of HRH Princess Maha Chakri
digital asset exchange and digital asset broker, starting from 2 February 2024. In addition, during the suspension, Zipmex is required to: (1) Rectify its financial condition to ensure compliance with
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมด้วยคณะผู้บริหารเข้าร่วมพิธีเปิดและกล่าวให้กำลังใจนักกีฬาที่ร่วมกิจกรรมการแข่งขันแบดมินตัน “Broker
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมด้วยคณะผู้บริหารเข้าร่วมพิธีเปิดและกล่าวให้กำลังใจนักกีฬาที่ร่วมกิจกรรมการแข่งขันแบดมินตัน “Broker
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
plays the role of promoting and developing the professional standards of financial advisors as they help to select and screen the quality of companies applying for listing in the stock market while also