higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the

Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds  to both SEC and BOT on a monthly basis. In order

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has issued the amended regulations with the key points as follows:   (1)  Revising the reporting scope for business operators to require submission of data or documents on a necessary basis and

from financial institutions decreased by THB 0.03 million (-0.18%). A decrease in non-current liabilities of THB 26.25 million was mainly due to a decrease in lease liabilities of THB 20.39 million

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

The Securities and Exchange Commission (SEC) participated in a seminar organized by the United Nations Development Programme (UNDP) to elevate Human Rights Due Diligence (HRDD). On behalf of the

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false documents in order to lure the investors into believing that their subscription transactions had been e...

In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signific...