enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
/2022 and (3) the reviewed financial statements for Q3/2022. This case is in the process of investigation by the inquiry official. SEC Act S.56(1) Criminal Complaint Filed with an Inquiry Official
of the Stock Exchange of Thailand within the period specified in the notification. This case is in the process of investigation by the inquiry official. SEC Act S.300 in conjunction with 56(1
Business Development and Operations at Morningstar Research (Thailand) Co., Ltd., shared insights on the ESG risks of Thailand’s fund industry. The event also provided an opportunity for fund managers to
event, the SEC made a charitable donation to the "Pranangklao Hospital Foundation" to help underprivileged patients and promote medical research, at the NACC Office on 17 November 2023.
Mr. Pat Thamma Mr. Pat Thamma, director of P.T. Research Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E
Pcl., and Mr. Kasin Suthammanas, CEO of FINNOMENA Mutual Fund Brokerage Securities Co., Ltd. The panel discussion was moderated by Dr. Charika Channuntapipat, Research Fellow, Business and Sustainable