The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
, an offence regarding performance of audit work as specified by Section 287 of the Securities and Exchange Act of 1992, or an offence regarding unfair practices in securities trading. 8. P
Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical
SEC gives information on posting trading signs on listed securities in accordance with SET regulations to protect investors. SET posts supervisory signs on listed securities to warn investors to make
(PAP) through the trading account of another person to seek unlawful personal gain.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed that on
enhance flexibility and accommodate future changes suitable for the Thai capital market landscape. Over the past years, foreign studies have shown that many foreign capital markets have revised their
to support the using of new technology in several activities in capital market, in particular fundraising, trading, and clearing and settlement. We believe that the embrace of innovation would promote
to the continuing loss in previous quarters. Ravi used such inside information to buy 1,479,700 SPORT shares through the trading account of Lohtong Holding Co., Ltd. before the company publicly
derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under