responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s
The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious
organization receives totally 3 awards, as follows: 1. Digital Government Award, 3rd place out of 10; 2. Outstanding Organization on Government Data Governance Award (total 3
The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
and Human Rights Due Diligence in Europe and Asia” หัวข้อ “Implications of Environment and Human Rights Due Diligence for Asia Business” จัดโดย the United Nations Development Programme (UNDP) และ
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription transactions as originally intended by the investors in the following business day. Instead, he spent the sub...