Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), and Deputy Secretaries-General, i.e., Mrs. Waratchya Srimachand, Ms. Jomkwan Kongsakul, and Mr. Anek Yooyuen, together with SEC executives and staff, joined the well-wishing ceremony and signed a book of well-wishes on the auspicious occasion of Her Majesty Queen Sirikit the Queen Mother’s Birthday Anniversary on 12 August 2023. The event took place at the SEC B...
นางสาวจอมขวัญ คงสกุล รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงานสัมมนา “Women Green the Way for Asia’s Financial Markets” จัดโดยสถานกงสุลสหรัฐฯ ประจำเมืองฮ่องกง (U.S. Consulate Hong Kong) สถานทูตสหรัฐฯ ประจำกรุงโตเกียว (U.S. Embassy Tokyo) สถานทูตสหรัฐฯ ประจำสาธารณรัฐสิงคโปร์ (U.S. Embassy Singapore) สำนักงานสิ่งแวดล้อมระดับภูมิภาคเอเซียตะวันออกเฉียงใต้ของสถานทูตสหรัฐฯ ประจำกรุงเทพฯ (U.S. Regional Environmental Affairs Office in Bangkok) และองค...
Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information (mobile number and email address) with her own information to register for the bank’s internet...
Following an inspection report from One and the SEC’s further investigation, it was found that during the period from 2012 to 28 June 2024, Mr. Soontorn engaged in conduct constituting a failure to perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the management of One for his own benefit with the client’s consent; (2) he personally signed client’s r...
The Securities and Exchange Commission (SEC), led by Miss Jomkwan Kongsakul, Deputy Secretary‑General, together with SEC executives, held discussions with the Association of Investment Management Companies (AIMC) on the occasion of Mr. Pote Harinasuta taking office as the new Chairman of the Association. The meeting provided an opportunity to exchange views on key directions for developing the investment management business and Thailand’s capital market, such as expanding the investor base, prom...