effective stewardship to Thai market participants. In addition, it also served as a forum for strategic coordination among leading institutional investors, financial firms, and public sector leaders to

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

According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

ราชูปถัมภ์ จะกำหนดให้มีผลบังคับใช้ในประเทศไทยในปี 2565 โดย ก.ล.ต. จะจัดหาผู้เชี่ยวชาญมาช่วยสนับสนุนการเตรียมความพร้อมดังกล่าวให้แก่สำนักงานสอบบัญชีไทย(4) โครงการสนับสนุนให้สำนักงานสอบบัญชีในตลาดทุนมี IT

According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged

economic and social development of the country. It also helps country prepare for change in response to various impacts arising from the increasing uncertainty and volatility we are facing today. Moreover

, (6) Miss Jaroonluck Kongkarien (later renamed Nittha), and (7) Mr. Veerawat Sukwara.  Following the auditor's report and the SEC's further investigation, it was found that from September 2015 to

With the case referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was found that the four offenders, namely (1) Mr. Win Udomrachtavanich, (2) Mr. Ratachai

account the client preferred. In so doing, {E} did not contact nor inquire the client's demand directly even though it was possible to do so. Instead, she asked an employee who was not an approved

give support and advice on business restructuring, and fund raising. It will help enhance business potential in developing innovative products, which will eventually back the country?s economic strength