The Securities and Exchange Commission (SEC) organized the SEC Capital Market Symposium 2023, an annual seminar to foster collaboration in research and dissemination of academic papers on capital
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the
shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure
proposals pushed by the SEC have shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
Bangkok, 8 November 2017 ? In the continued effort to develop the bond market, the SEC is revising the relevant rules and regulations to better respond to the changing market conditions and investors