.   The SEC conducted a public hearing on the governing principles in late 2015 and later took into consideration the comments and suggestions of business operators and related parties during the amendment

use of financial innovations.Therefore, the SEC has proposed amendment to the paid-up capital rules to be issued in three notifications by taking into consideration stakeholders? comments and

securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนายทยากร จิตรกุลเดชา ผู้อำนวยการฝ่ายตราสารหนี้ ร่วมกล่าวเปิดงานสัมมนาออนไลน์หัวข้อ “Deep dive into sustainability-linked bonds” ซึ่ง

collaboration framework and entered into MoU signing to lay the foundation for capital market cooperation to promote sustainable growth in the region.  Vorapol Socatiyanurak, SEC Secretary-General revealed the

shares at the acquired price on the same trading day was not new and was taken into the Sub-Committee?s consideration.  The Sub-Committee?s opinion therefore remains unchanged. In addition, the fact that

guidelines. Taking into account that she has already been suspended by her employer for three months, the suspension imposed by the SEC is deemed to have been served.  

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5

entering into complex financial products or transactions whereby associated risks and return must also be studied. Moreover, assessment in the aspect of appropriateness to investment policy and investment