Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to

Bangkok, May 31, 2011 - The SEC will revise regulations on taking custody of client?s assets by securities company and derivatives broker in response to upcoming reduction of protected deposit under

Bangkok, August 22, 2007? Almost 70 percent of the 460 listed companies participating in the second Annual General Shareholders Meeting (AGM) Assessment Program have achieved good average score ( 70 points), an increase of 20 percent comparing to last year?s assessment. A brainchild of the SEC, the Thai Investors Association (TIA) and the Thai Listed Companies Association (LCA), the program was launched as a pilot project in 2006 and has increasingly attracted enthusiastic interest of nei...

Bangkok, August 22, 2007 ? Almost 70 percent of the 460 listed companies participating in the second Annual General Shareholders Meeting (AGM) Assessment Program have achieved good average score ( 70 points), an increase of 20 percent comparing to last year?s assessment. A brainchild of the SEC, the Thai Investors Association (TIA) and the Thai Listed Companies Association (LCA), the program was launched as a pilot project in 2006 and has increasingly attracted enthusiastic interest of ne...

Bangkok, December 18, 2013 ? The SEC is seeking public comment on draft amendments to exempt the duty of registered derivatives dealers and derivatives fund managers to conduct the suitability test for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to...

account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report