. SEC is prepared to consider easing rules to make it more convenient and not too cumbersome. We have reached a conclusion and shared a common understanding. SEC is ready to receive applications for

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients

}. However, after fact examination, it was found that there was a reasonable ground to believe that the actual payment for the purchase of the land and the office building was 40 million baht, and the

Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

งานกับหัวหน้าและผู้แทนสำนักงานสอบบัญชี ในการนำแนวทาง IT security and Cyber security ไปปรับใช้ในสำนักงานสอบบัญชี 

ได้ (investment grade) (2) ให้ ก.ล.ต. พิจารณาความเป็นไปได้ในการสนับสนุนค่าใช้จ่ายในการพัฒนาทักษะของบุคลากรในตลาดทุน การขยายฐานผู้ลงทุน รวมทั้งการพัฒนาระบบเทคโนโลยีสารสนเทศ (IT System) เพื่อยกระดับ