Mr. A did not consent to bring an end to the case at the SEC level, the SEC therefore decided to send a letter to the prosecutor to file a civil lawsuit against Mr. A and press for civil sanctions

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department and SEC Ambassadors, provided financial literacy lectures to 1,449 freshmen at  Kasetsart University under the title “Personal Financial Management, Saving, and Investment.” These lectures aimed to enhance the understanding of financial management and goal setting, investment products (equities, bonds, and digital assets), the SEC’s regulations, and awareness of investment scams. This sess...

The Securities and Exchange Commission (SEC), represented by Mrs. Anothai Pinyowiwat, Director of the Information Technology Department, gave a welcome speech to lecturers and students from the

 Bangkok, April 23, 2012 ? The SEC honors students from BBA International Program, Faculty of Commerce and Accountancy, Thammasat University, the winner of the 6th annual ?CFA Institute Research

}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC

higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the

Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri

Thammasat University students with financial and investment knowledge, preparing them to become capable investors in the future.The event featured expert speakers who provided insightful lectures and inspired

Investment for Gen Z” to approximately 500 students at Suan Sunandha Rajabhat University, Nakhon Pathom Campus. The session focused on the “Three Knows” (Know Oneself, Know Others, and Know Own Risks), the 5