SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
Earlier, the SEC received tips from the concerned public and stakeholders that unlicensed digital asset business operators, both local and foreign, were soliciting investments and services to the
Bangkok, March 2, 2016 ? The SEC has filed two criminal complaints with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against 11 offenders on account of operating securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered damage from proceeding accordingly. The first case involves four entities, namely: (1) Gilt Edge I...
Bangkok, March 21, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against EMM Consulting Co., Ltd., Alan Sydney Roy Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of EMM Consulting to use their services and investment advice to tranform his pension fund abroad int...
operators. The SEC conducted a public hearing on the proposed principles and relevant draft regulations during 9 October – 7 November 2023. Most respondents supported the proposal for amending the advertising
The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
operators. SEC Secretary-General sough their opinions and wished to learn of their problems and obstacles in their operation in the fast-changing environment and in support of consideration in formulating
clients.SEC has drafted a regulations in accordance with the principles from the public hearings, incorporating the suggestions of the business operators. In addition, SEC has revised the criteria for the
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident management. The consultation paper is available on www.sec.or.th. Stakeholders and interested partie...
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai