investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E

การประกาศเจตนารมณ์เข้าเป็นแนวร่วมปฏิบัติ (Collective Action Coalition) ในการต่อต้านการทุจริต โดยไม่มีบริษัทใดได้คะแนนระดับ 5 ขณะที่ในปี 2558 บริษัทจดทะเบียนส่วนใหญ่ (ร้อยละ 44.44) ได้คะแนนดีขึ้นมาอยู่

benefit at the expense of their clients. It is the duty of each and every securities firm to deal with its clients in a fair and honest manner and must take a prompt and appropriate action once it becomes

decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by

were submitted for a certain period of time.  The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in

เป็นประเทศที่มีความเสี่ยงสูงด้านฟอกเงิน รวมทั้งเพื่อให้เป็นไปตามมาตรฐานสากลเกี่ยวกับ AML/CFT (Anti-Money Laundering and Combating the Financing of Terrorism) ตามข้อแนะนำของ FATF (Financial Action Task

to ensure that legal action will be seriously taken against wrongdoers. Civil sanction will also be promoted as another enforcement tool. Financial product development: relevant regulations will be

assessment showed that 60 percent of listed companies on the Stock Exchange of Thailand (SET) have placed priority on anti-corruption practices while 19 companies have been certified by the Collective Action

Section 56 in conjunction with first paragraph of 274 of SEA. The case was resulted from the action on June 30, 2005, where the SEC had filed complaints with Department of Special Investigation ("DSI

important role in supporting the Thai economy. The Taskforce reached a consensus and proposed the “Thai Capital Market Attractiveness Initiatives,” highlighting four main measures along with key urgent action