companies on 30 October 2023 at the SEC Building. The meeting’s discussion focused on policy directions to enhance competitiveness in conjunction with the development of asset management businesses towards
Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during December 2017 – February 2018, Chantip, by virtue of her position as
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
seminar at a hotel in Udonthani Province to solicit the attendance of some 100 persons, mostly elderly, to make an investment with the company by purchasing securities of Mandawee Sawasdee Public Limited
startups to access sources of capital efficiently at reasonable costs.”“Presently, SEC has the existing equity crowdfunding rules since 2015 for SMEs and startups with clear business plans to gain easier
In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or
Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to