rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business operators which also operate the
months due to wrongful acts against investors’ assets make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following
securities issuing companies and listed companies throughout the duration of the legal proceedings, starting from the SEC’s filing date of the criminal complaint with the DSI.***In any case, after filing a
investigative expenses incurred by the SEC, totaling 1,790,110 baht. He is also barred from serving as director or executive in securities issuing companies or securities companies for 12 months. The above
derivatives for 24 months and from serving as director or executive in securities issuing companies or securities companies for 48 months.The civil sanction imposed by the CSC will take effect when the
, reimbursements of investigative expenses incurred by the SEC, and a bar from serving as director or executive in securities issuing companies or securities companies for specified periods, with the following
beyond. Reflecting current economic conditions, listed companies’ performances on the stock exchange and the index have significantly decreased. Nevertheless, there is a positive trend in corporate
The training seminar on the topic “Understanding the Impact of Sustainability on the Value and Performance of Companies; Integrating Climate-Related Risks and Opportunities into Equity Analysis and
individuals, and impersonating SEC, SET or listed companies’ executives or celebrities or investment gurus etc. The SEC urges the public to check if the solicitors are approved or licensed by the SEC through
is barred from serving as director or executive in securities issuing companies or securities companies for 14 months. In all cases, civil sanctions, as imposed by the CSC, will take effect when