for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
petition with the Southern Bangkok Civil Court, Black Case No. Por 101/2567, dated 18 January 2024. The petition sought the Court’s order to revoke a share swap contract whereby NUSA shareholders would
), share listing and trading in a new secondary market, LiVe Exchange.” In this regard, the SEC Board Meeting No. 2/2565 held on 3 February 2022 has passed a resolution approving the rules, regulations and
Exchange of Thailand to establish the Securities Investor Protection Fund (SIPF). The SIPF pays compensation for damages due to securities trading disputes between investors and market participants either
-2021), the role of market promotion and development should be separated from the SET so that the SET would be able to focus on its role of securities trading exchange more efficiently. Meanwhile, the
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