characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
regulators, credit rating operate and the manner in which opinions of CRAs should be used by market participants. The IOSCO CRA Principles address four key objectives that are designed to promote informed
“Empower Your Money: Save Smart, Live Free.” The SEC officials from the Department of Capital Market Education delivered lectures on financial planning for government officials and conducted a workshop on
SEC Secretary-General Ruenvadee Suwanmongkol said: “As a capital market regulator, SEC Thailand is very pleased to host this year IOSCO APRC Meeting according to the resolution of the IOSCO APRC
ผลวิจัยที่เกิดจากความร่วมมือของ UN Women และองค์การแรงงานระหว่างประเทศ (International Labour Organization: ILO) เรื่อง ‘Policy Landscaping to advance a Transparent Implementation of the Women’s
aspects are summarized as follows:(1) Enhancing clarity in PFS disclosure requirements by stipulating that disclosures must be clear, transparent, and not misleading regarding the nature, type, risks, or