December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Bangkok, 11 January 2024 – Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), revealed that during the SEC Board Meeting No. 1/2567 convened today, the
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
Bangkok, September 24, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revision of rules applicable to securities companies facing
Bangkok, February 24, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the SEC Board approved to prescribe a depositary receipt (DR) as a security under the Securities and Exchange
requiring the company to file with the SEC monthly progress report.SEC Secretary-General Thirachai Phuvanatnaranubala revealed that ?the CMSB concurred to extend the due date for undertaking out-of-court
Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual