The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the SEC Ambassadors, conducted a series of lectures on financial and

action is based on the authority granted by the SET and TFEX regulations, which have been approved by the SEC Board and the Capital Market Supervisory Board (CMSB) to address incidents that could impact

สอดคล้องกับทั้งบริบทของตลาดในประเทศและเป็นไปตามมาตรฐานสากล ซึ่งจะช่วยส่งเสริมการลงทุนเพื่อความยั่งยืน  บุคคลในภาพ (จากซ้ายไปขวา): 1. Peter Bakos, Head of the Market Surveillance and Issuer Supervision

collaboration of capital market partners, business organization and government agencies, i.e. (1) the Stock Exchange of Thailand (SET), (2) the Federation of Thai Capital Market Organizations (FETCO), (3) the

การดูแลผู้ลงทุน ณ สำนักงาน ก.ล.ต. เมื่อวันที่ 18 พฤศจิกายน 2563 นอกจากนี้ ที่ประชุมยังมีการหารือเกี่ยวกับเสถียรภาพระบบการเงินในส่วนของ market-based finance ที่ IOSCO ดำเนินการร่วมกันกับ Financial

is designed to encourage and support capital market intermediaries to have a cyber resilience, as well as to prepare playbook for cybersecurity incidents, which is an important part of the

Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities

Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of