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 financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical...

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms?...

convenience to case monitoring and progress updates. In case of unreasonable delay or inadequate services from officers, complainants are welcome to contact SEC Secretary-General directly via email: ruenvadee

income from insurance claim for damaged solar panel due to Typhoon in Japan in the amount of THB 99 million. At the same time, selling, general and administrative expense was decreased, mainly from the

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow,  which needs the collaboration among sectors, including the PVD members, who are employees in

percent voting rights of the total sold shares.   In this regard, IFA has an opinion that the SUSCO shareholders should not approve the proposed transaction this time due to inadequate conditions in the

the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case

. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These

the amount of THB 5 million, mainly from better wind speed from the typhoon that reached the country within the quarter, while last year there was a much less than usual seasonal monsoons, resulting in