Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts  without executing the transactions that the clients had made. Besides, she made false evidence by forging the clients’ handwriting, subscription orders and switch orders or unitholders’ account books...

(2018), the SEC Board has proposed that Minister of Finance consider revocation of the digital asset exchange license of Huobi. In addition, the SEC Board, by virtue of Section 35 Paragraph 2 of the

aforementioned assets. Moreover, the backgrounds surrounding NUSA’s petition for the Court’s revocation of the share swap contract with WEH shareholders remained unclear, with anticipated potential impacts on NUSA

cancellation and take legal action against those involved in the transactions.     

novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation

Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for

Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial Statements & Auditor Approval (section 106) |- Public Disclosure (section 108) |- Reporting & Notification Requirements

) |- Major Shareholders (section 90 and 91) |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section

paragraph one hereof shall submit a copy of letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such

paragraph one hereof shall submit a copy of letter of revocation or cancellation of approval of the Bank of Thailand to the Office within fifteen days from the date on which the Bank of Thailand issues such