regulations on suitability test aim for investor protection both in primary and secondary markets and standardize practices in offer for sale of all securities. By taking into account flexibility and
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
. The SEC conducted a public hearing on the governing principles in late 2015 and later took into consideration the comments and suggestions of business operators and related parties during the amendment
use of financial innovations.Therefore, the SEC has proposed amendment to the paid-up capital rules to be issued in three notifications by taking into consideration stakeholders? comments and
. Following a referral from the Stock Exchange of Thailand (SET), the SEC probed into the case and found that on September 23, 2009, Chutchapong, then deputy managing director and director of SLC, had sold SLC
securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนายทยากร จิตรกุลเดชา ผู้อำนวยการฝ่ายตราสารหนี้ ร่วมกล่าวเปิดงานสัมมนาออนไลน์หัวข้อ “Deep dive into sustainability-linked bonds” ซึ่ง
collaboration framework and entered into MoU signing to lay the foundation for capital market cooperation to promote sustainable growth in the region. Vorapol Socatiyanurak, SEC Secretary-General revealed the
shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration. The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that