Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that {A} had solicited a client to invest in derivatives products by guaranteeing returns; the clien...
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing misconduct, an inspection report from the bank and the SEC's further investigation have revealed t...
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries