consider complete to reduce the redundancy of reporting;(3) Exemptions from reporting in case of securities or derivatives that serve as collateral are sold or force-sold in the market by another party

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks.    Therefore, the SEC

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

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

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital

Bangkok, February 9, 2016 ? The SEC is seeking public comments on draft amendments to several regulations governing provident fund (PVD) management to promote PVD as an effective savings chanel for employees.  The revision aims at encouraging employees to save more, save longer, and save smart, to enjoy better quality of life after retirement.The proposed amendments would require that asset management companies comply with the following key regulations:   1) To provide several investment plans f...

Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an undue burden to the business.  SEC, therefore, proposes to amend the regulations by requiring...