. This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line
incorporated in the 4th Capital Market Development Plan (2022-2027), under the “Digitalized Capital Market” strategic direction. The SEC is determined to push forward further development of DIF Web Portal to
initiative under the Capital Market Governance Promotion Initiative in Celebration of the Auspicious Occasion of His Majesty the King’s Coronation organized and launched on 14 August 2019 by SEC in
, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) บรรยายในหัวข้อ “SEC Roles and Capital Market Supervision and Development” ให้แก่คณะนักศึกษาหลักสูตร
comply with international standards and be recognized in the global community. Also, the capital market is a key driver of the national financial system. The FSAP involved two main separate assessment
exchange act and class action litigation on securities fraud to lawyers will strengthen legal remedies available for defrauded investors in capital market. Therefore, SEC joins hand with Lawyers Council
, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently