Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Chai Sophonpanich for disclosing inside information for other persons to purchase shares of Bangkok
is therefore suggesting that SET needs to review the free-float criteria and the trading alert measures, especially in cases where the prices of low free-float shares change quickly, and consider other
compete. One approach is to explore new lines of business other than their core securities and derivatives businesses. Such new businesses may have a higher investment value and a higher risk, or may not
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings...
SEC Thailand, as the host of the 30th ASEAN Capital Markets Forum (ACMF) on 18 March 2019, and other ASEAN regulators endorsed the Roadmap on ASEAN Sustainable Capital Markets to provide clear
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
wallet provider, and other rules related to the digital asset business operations. The main objectives of the proposed amendments were to build an adequate and appropriate investor protection mechanisms in
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
สนใจ เช่น ความเสี่ยง เครื่องมือ และแนวทางการกำกับดูแลใหม่ ๆ ได้แก่ RegTech Crypto และ Surveillance การกำกับดูแลโดยใช้ Behavioral Cluster Analysis การบริหารจัดการความปลอดภัยของระบบและข้อมูลตามมาตรฐาน
as other securities, instruments or other assets to be specified by the SEC Board. The introduction of DR is in accordance with the SEC strategic plan, aiming to widen investment opportunities and