companies engage in significant transactions. The SEC and the Investment Banking Club have been working together continuously on these matters. “We wish to express our appreciation for all members of the
has also participated in several IOSCO’s working groups.In the picture (from left to right):1. Mr. Pongpit Pinsai, SEC Director of the Research and Data Department2. Mr. Tajinder Singh, IOSCO Acting
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
use as working capital in business operations, expand markets and expand businesses by leaps and bounds. "The capital market is considered a source of long-term funding, creates a good image
policies and guidelines for working together on September 25, 2019 at the SEC Office. They shared the opinion on driving the capital market with guidelines to support SMEs to access funding sources in the
resources development, and facilitate systematic linkage of working process for optimum results.? LED Director-General Ms. Ruenvadee Suwanmongkul said: ?This mutual effort exemplifies our promotion and
working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that
to the SET referral and the SEC further investigation, it has been found that during 25 February - 17 March 2015, Surachai, Somsak and Orthai, who were clients of Phichayada (at the time working for a
investors, as well as to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects such as the