technologies to enhance transparency and the efficiency of the capital markets. She also discussed the SEC’s experiences in addressing challenges and opportunities in utilizing technology for capital market
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), provided financial literacy lectures to
in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital
Ms. Jomkwan Kongsakul, Deputy Secretary-General of the Securities and Exchange Commission (SEC), presented a lecture on the topic, "Roles and Responsibilities of Directors under Capital Market
The Securities and Exchange Commission (SEC), represented by Ms. Sarica Apiwatthakakul, Director of the Capital Market Education Department, extended the SEC congratulations to the King
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
Clause 23(2) and having prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re