SEC Secretary-General Ruenvadee Suwanmongkol, Deputy Secretary-General Tipsuda Thavaramara and Deputy Secretary-General Sirivipa Supantanet convened an executive meeting with the SEC Management to declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Det...
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be
allow asset management companies to use own discretion in handling such fund transfer more flexibly while maintaining tax benefits for investors of such funds on a continuing basis.The key points of
information to purchase Rayong Purifier Plc. (presently known as RPCG Plc.) (RPC) shares for their own benefits, as well as Piyanuch Janetumnugul as aider and abettor in the scheme. With the referral from the
} Company (presently known as {X2} Company) shares for their own benefits, as well as {C} as aider and abettor in the scheme.With the referral from the Stock Exchange of Thailand, the SEC's probe found that