the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
-determined investment scope, and receiving more protection from better quality standard services.The proposed rules are expected to take effect in early 2017. The consultation paper is available at
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
prepare and submit the accurate financial statement for the year 2019 through the transmission system as prescribed by the Stock Exchange of Thailand resulted from the instruction or the failure to give
annual registration statement for the year 2019 (Form 56-1) through the transmission system within the period specified in the notification resulted from the instruction or the failure to give instruction
prepare and submit the key financial ratio report for the year 2020 through the transmission system of the SEC Office within the period specified in the notification resulted from the instruction or the