SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

Bangkok, September 14, 2009 ? The Criminal Court ordered another 60-day extension of asset freeze against 12 alleged offenders on Picnic Corporation Plc. (PICNI) case, namely Suriya Lapvisuthisin

Bangkok, July 2, 2009 ? The Criminal Court ordered another 180-day extension of asset freeze upon five alleged offenders in the S.E.C. Auto Sales and Services Plc. (SECC) case, namely (1) Sompong

Bangkok, March 22, 2013 - The SEC rejected to grant further extension of deadline for Thai Unique Coil Center Plc. (TUCC) to submit its rectified Q2 and Q3/2012 financial statements as well as 2012

along with its creditors sent a letter requesting the CMSB to grant another one-month period extension for their out-of-court negotiation on debt restructuring which is expected to expedite repayment of

Electronic Information System.Subsequently, EARTH requested an extension to the deadline. The company?s issue has widely affected investors and the shareholders of EARTH; however, from the issue date of the

Bangkok, June 29, 2012 ? The SEC declined to grant further extension of dateline for Professional Waste Technology Plc (PRO) to submit the rectified and audited 2011 and reviewed Q1/2012 financial

another extension of 20 more days to allow time for the auditor to receive the document verificaiton from a thrid party. The SEC has therefore postponed the deadline to 28 March 2017. KC must also disclose

Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...