The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Thai Digital Asset Association, led by President Nares Laopannarai, held a joint meeting to discuss and exchange views on strategies for promoting, developing, and supervising digital assets, including the involvement of the government, the Thai Digital Asset Association, and Thailand digital asset community. The joint meeting took place at the SEC building on 26...
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
time in order to have cross-regional discussion that serves the objective of this forum. The uncertainties caused by the pandemic have emphasized the importance of the forum as a venue for gathering
) shareholders? meeting pursuant to the SEC's order, and (3) establishment of the Capital Market Development Fund (CMDF). The draft amendments under public consultation can be summarized as follows: (1
business and market environment; multidimensional development of ecosystem by taking into account views and opinions from all stakeholders; and focusing on root cause or target group in order to provide
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and