Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
of Contract for Difference (CFD) with several underlyings such as gold, crude oil and stock index. This is a speculation for the difference between the current value of an the underlyings without
. In addition, SEC would extend the renewal period for the capital market business personnel to be from 1 September to the last business day of the year, as opposed to the current renewal period from 1
. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form
SEC to be replaced with other disclosure means, for example, disclosure of information via generally accessible channels of business operators or preparation and storage of information in a manner
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
supervision, promotion of savings and long-term investment and sustainability funds. This includes revision to regulations in line with current circumstances to foster trust and confidence in the Thai capital
SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
principles to responsible in-process business operation in line with the Sustainable Development Goals (SDGs) of the United Nations.The current Initiative participants, both companies and organizations, will