the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
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Ms. Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), joined the panel discussion on “Reshaping the Thai Capital Market towards Sustainable Growth
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited to participate in a panel discussion on the topic “How Thailand’s Capital Market Can
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited as a guest speaker to deliver a lecture on the topic “Capital Market and Investment
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
Bangkok, April 28, 2014 ? The SEC is seeking public comment on the proposed amendments to the Securities and Exchange Act B.E. 2535 (1992) or SEA to increase competitiveness of Thai capital market in
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities