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 signi...
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The SEC made amendments to the regulations governing the reporting of the IPO shares results, aiming to enhance investor access into critical information and be useful for investors’ decision-making
Office of the Securities and Exchange Commission No. Sor Jor. 63/2559 Re: Reporting of Information Disclosure of Debt Securities Issuers After Offer for Sale of Debt Securities, dated 29 December 2016
proposed amendments to such criteria to reduce redundancy and inject flexibility for reporting parties while ensuring that data users receive sufficient information within an appropriate time. Having
According to the SEC’s public hearing in the fourth quarter of 2022, the majority of respondents expressed support for the proposed principles and draft regulations, and some also suggested that the timeframe for the preparation and disclosure of PVD factsheet should be consistent in practice across all asset management companies (AMC). The SEC has taken the public’s recommendations into consideration. On 23 May 2023, the Capital Market Supervisory Board Meeting No. 5/2566 passed a resolution ap...