Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
burdens and operating costs of private sectors. Currently, there are 68 ongoing projects. Based on the initial assessment, once all 83 projects have been completed, they are expected to help reduce
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital