The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
United Nations Guiding Principles on Business and Human Rights (UNGPs), and to emphasize HRDD throughout the value chain, with the goal of integrating these practices into the 56-1 One Report. During the
and SDG Impact Standards, Class 2.” This training aimed to educate participants on SDGs, SDGs-IMM (Impact Measurement and Management), and the importance of sustainability in business operations
Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
Bangkok, October 10, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of Capital Nomura Securities Plc. and a one-month suspension on {B}, a securities
Mr. Sittichai Phonsap-anan During 13 July 2021 to 3 May 2023 (a total of 438 business days), a group of 18 persons with personal and financial relationships and securities trading activities are: (1