framework with the belief that the business sector being driven by the framework of the guiding principles will be strengthened in the management of operational risk. More importantly, the operations of
better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management
under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working