oversight procedures are consistent. The MOU also prioritizes information sharing for mutual best interest. The signatories aim to support human resource development in the financial sector and educate
SEC has teamed up with the United Nations Development Program (UNDP) and the Global Compact Network Thailand (GCNT) in organizing a seminar titled, “From ESG to SDGs : Integrating SDGs Impact Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN Sustainable Development Goals (SDGs).The seminar was held at The Athenee Hotel Bangkok, on 24 Febr...
Secretary-General to the Prime Minister for Political Affairs gave a speech on the topic, “The Roles of Private Sector in Implementing the SDGs,” emphasizing the importance of ongoing cooperation to build
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ธนาคารแห่งประเทศไทย สำนักงานคณะกรรมการกำกับและส่งเสริมการประกอบธุรกิจประกันภัย และสมาคมธนาคารไทย ร่วมจัดอบรมโครงการ Financial Sector
บริษัท หลักทรัพย์จัดการกองทุนอีสท์สปริง (ประเทศไทย) จำกัด|กองทุนรวมเพื่อการเลี้ยงชีพ,กองทุนรวมหมวดอุตสาหกรรม | วันที่เสนอขาย : 21/12/2558 - 25/12/2558
Standard Buillion|VGI Consultant (Thailand) Co., Ltd. |SB Gold (Thailand) Co., Ltd. Website: www.standardbullion.com.hk, www.trader9999.com : Unlicensed securities and derivatives business
market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the