Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the

establish transparent and fair membership criteria, which shall focus on the suitability, financial status, performances, readiness, capability and professional codes of ethics of the applicants. Clause 15 A

Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, Warot and Jeeranan, former EY assistant auditors, were involved in irregular securities and

- SECOpenData TH Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary https://secopendata.sec.or.th

Home Fund Mutual Fund Private Fund Provident Fund REIT / INFRA / PROP Page Debenture Equity ESG Data Digital Asset Intermediary & Professional Intermediary https://secopendata.sec.or.th/Intermediaries

Court (OAC) in support roles, at the professional level, for a study visit. This visit was part of a training program for OAC officials in support roles who are preparing for promotion to the senior

Professional Portfolio International Ltd. Professional Portfolio International Ltd. (PPI) colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory

The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) สนับสนุนสมาคมบริษัทจดทะเบียนไทยจัดกิจกรรม TLCA CFO Professional Development Program (TLCA CFO CPD) ครั้งที่ 5/2562 ในการบรรยายเรื่อง “The