Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about
Bangkok, 31 October 2017 ? The SEC has filed criminal complaints against former directors and executives of The International Engineering Public Company Limited (IEC) and their associates, totaling 25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent w...
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
opportunity to correct their mistakes or pay remedies in protection of investors? interest as summarized below: 1. Asset management companies shall correct errors promptly within the next business day after
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due