quality control systems. Of the total 32 audit firms, 53 percent received the Good to Very Good evaluation results – an improvement from 48 percent in 2019 and from 51 percent in 2020. In addition, seven

the SEC’s supervision. Under the new rule, which will become effective from 1 October 2022 onwards, the qualifications of such investors are amended to incorporate an aspect of adequate financial

delivered include financial and investment planning, proper saving and investment methods, and self-protection from falling victim to financial frauds and scams. Ms. Ruenvadee Suwanmongkol, SEC Secretary

progress” หัวข้อ “View from the top: From strategy to action – how can investors, policy makers and corporates scale up ESG integration across Asia?” จัดโดยสำนักข่าว Financial Times และสำนักข่าว Moral Money

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

AGM of unitholders of funds and REITs CMSB has granted a deadline extension to 30 June 2020 or four months from the end of the financial year, whichever comes later. If the situation persists, SEC

services from business operators in the capital market despite the spread of Covid-19. In any case, investors are advised to study information thoroughly in all aspects before making investment decisions

profits from the order.   SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has

Act from stakeholders. The result of the study and the suggestions on that matter is expected to be completed in May 2020.“Then, SEC will promptly proceed with the amendment of the Securities and

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1