Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch, for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E
Bangkok, 2 August 2016 ? The SEC is seeking public comments on the Corporate Governance Code (CG Code), which will replace the Principles of Good Corporate Governance for Listed Companies 2012.The CG
culture conducive to the creation of sustainable benefits for members, the funds and the Thai capital market as a whole.The four provident funds that have announced to implement the I Code are: (1) The
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
Bangkok, 17 August 2017 ? The SEC applauded 30 institutional investors and related agencies for announcing to adopt the Investment Governance Code (I Code).In February, the SEC Office teamed up with