Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2263-6311 or email address at rangrong@sec.or.th until October 7, 2013...

Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

Exchange of Thailand did not cover the securities trading on August 16, 2004. Expectedly, if compilation of information is completed, the investigation result will be proposed to the SEC board meeting on

securities and derivatives business operators. The revisions will provide a compilation of rules presently specified in a number of notifications for more clarity and appropriateness. According to the proposed

transfers from the client?s account, which was deemed severe misconducts in contravention of the standards of conduct under Clause 11(1) of the Notification of the Office of the Securities and Exchange

decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her

11(1) and (2) of the SEC Notification No. SorKhor 15/2548 Regarding the Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. Owing to such severe offences, the SEC deemed

clients who suffered substantial damage from her misconduct which she avoided to acknowledge. This is a case of severe wrongdoing. The SEC, therefore, bans Napasanan from being an investor conduct in the

such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset