required to conduct a knowledge test on investors before providing services to them.   The consultation paper is available at https://bit.ly/3knvOOk. Stakeholders and interested parties are welcome to

SEC has announced the SEC Strategic Plan 2021-2023 today at the conference under the theme, “Strengthening Resilient Future.” Mr. Arkhom Termpittayapaisith, Minister of Finance, presided over the

the rules. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and recommendations via the website, facsimile

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

vacancies, the company’s registration of the replacing directors with the registrar at the Department of Business Promotion, the Ministry of Commerce, the registrar’s acceptance of the registration of the six

Tuesday 25 December 2018 at the Royal Thai Army Club on Vibhavadi-Rangsit Road, Bangkok, from 11.00 hrs. onwards.According to the SEC, IFEC shareholders should attend the meeting to exercise their

years, while the existing rotation period was 5 years and the existing cooling-off period was 2 years. The revision will be effective from 1 January 2019”. To mitigate impacts at the initial phase of

imposed on them and paid separate civil penalties at the total amount of more than 120 million baht. The six offenders are: (1) Mr. Sathit Roongwatanapak, (2) Mr. Chavin Roongwatanapak, (3) Ms. Tanyapa

customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as

companies conducting mutual fund management and private fund management businesses. The consultation paper is available at www.sec.or.th/hearing Stakeholders and interested parties are welcome to