warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
on the License Return”). The entering into the Transaction of Returning Spring26’s License is considered as the disposal of assets according to the Notification of the Capital Market Supervisory Board
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart
Securities and Exchange Commission No. KorRor. 4/2558 Re: Determination regarding Types of Transactions in Capital Market Allowed to Use Form of Trust (No. 3) _____________________________ By virtue of Section
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
Ms. Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), joined the panel discussion on “Reshaping the Thai Capital Market towards Sustainable Growth
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited to participate in a panel discussion on the topic “How Thailand’s Capital Market Can
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited as a guest speaker to deliver a lecture on the topic “Capital Market and Investment