Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an

Bangkok, February 21, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved the amendment to rules governing advertisement and sales

Bangkok, September 26, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Jadesada Hungsapruek and will not consider his application for approval

Bangkok, June 16, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Somchai Kurujitkosol and will not consider his application for approval for

Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC

Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards

Bangkok, November 23, 2009 ? The SEC Board Meeting No. 13/2009 today approved the introduction of Sukuk or Islamic bonds to the Thai capital market as an investment and fund-raising alternative based

The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as