, 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

, 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

ประสิทธิภาพของกระบวนการยื่นคำขออนุญาตออกเสนอขายใบสำคัญแสดงสิทธิอนุพันธ์ แก้ปัญหาความซ้ำซ้อนของการทำงานระหว่างหน่วยงาน ลดการนำข้อมูลเข้าหลายระบบ เพิ่มความสะดวก ลดเวลาเข้าซื้อขายในตลาด (time to market)  ซึ่งระบบ

investment management companies while achieving the appropriate right balance between regulatory flexibility and investor protection. At the same time, investors are offered money market funds as an

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

SEC Secretary-General Rapee Sucharitakul said “SEC aims to provide people in general access to the capital market as a source to accumulate long-term financial stability. However, until now

Thai Capital Market and Economic Growth.” In addition, the research team from Thammasat University led by Prof. Witawat Rungruangphon and Mr. Weerapong Kitiwong, PhD., presented the results of the Value

and deliberation as a professional, and {B}'s was a failure to perform duties or provide services honestly. Both cases were in contravention of the Notification of the Capital Market Supervisory Board