decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by
compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions
LIMITED Disclosure Business News ( 5 record(s) found) Date Time Heading Link 10/08/2022 17:54 Reports on Connected Transaction (ordinary business support transaction) 24/06/2022 17:22 Reports on Connected
rules and not seek trading advantage through possession of price sensitive information. Where appropriate and feasible, they may consider formally becoming insiders in order to support a process of https
in order to support a process of https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...
), aimed at encouraging businesses and stakeholders to support environmental protection and provide fundraising channels. Additionally, the SEC Spokesperson discussed efforts to prevent investment scams on
channels available to Thai investors, and the enhancement of ESG sustainable practices in alignment with International Sustainability Standards Board (ISSB) standards. The discussions aimed to support the
and Machine Learning (ML) in business services, survey findings on providing international products to retail investors, insights on the growth of "finfluencers" in Thailand, support for Open Data use