SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
SEC Secretary-General Ruenvadee Suwanmongkol said that the SEC emphasizes the role of the capital market in providing reliable and sufficient information to support investors' decision making. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However, most research reports currently available in the capital market mainly cover large-cap stocks. To incr...
Seminar on Capital Market for SMEs) และได้ร่วมประชุมหารือกับผู้แทนจากตลาดหลักทรัพย์เซินเจิ้น (Shenzhen Stock Exchange) ซึ่งนำโดย Mr. Li Hui Executive Vice President โดยได้มีการหารือถึงความร่วมมือระหว่างตลาด
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต) ร่วมสัมมนาออนไลน์ในงาน Asia Pacific Stock Exchanges Webinar Series ภายใต้หัวข้อ “Overview of Equity
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
) concerning the establishment of the Capital Market Development Fund (CMDF). This second consultation focuses on revising the CMDF's objectives to include necessary financial support for the Stock Exchange of
Bangkok, 25 October 2017 ? The SEC in cooperation with securities companies, asset management companies and the Stock Exchange of Thailand Group exercised a joint cyber drill to raise the industry's
Bangkok, 8 June 2017 ? With reference to Energy Earth Public Company Limited (EARTH)'s disclosure of the default on the bills of exchange (B/E) repayment to the Stock Exchange of Thailand (SET) in