Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based

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...

The ASEAN Capital Markets Forum (ACMF) today approved the ACMF Annual Implementation Plan 2016 (Annual Plan 2016), which sets out ACMF?s immediate priorities for the year, during its 24th meeting

Following the discussion with TFAC on 13 March 2020, SEC submitted a letter to TFAC on 17 March 2020 to propose an issuance of accounting guidelines in response to the COVID-19 situation that could affect the preparation of financial statements of listed companies. The main objective of the guidelines is to ensure clarity of application of accounting standards in financial statements of listed companies during the crisis and mitigate potential impacts on business operation. The two acc...

affecting the development of securities businesses in the capital market, both in Thailand and aboard, in order to lay out the landscape, securities business structure, policies and directions for promoting

suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the

were stemmed from both Wattanapat Hospital Trang Public Company Limited and its subsidiary. The revenue from Out-patients department was inclined by 20.1%, on the contrary, In-patients department was

SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program

in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the

clearing house shall set out rules on how to carry out the actions under Paragraph 1. Clause 17 A derivatives clearing house may not use an outsourced service provider with respect to custody of assets