SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
THE ROYAL BANK OF SCOTLAND N.V. DIRECT CAPITAL COMPANY LIMITED TONTAN CORPORATION INVESTMENT ADVISORY SECURITIES , COMPANY LIMITED TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC COMPANY LIMITED TRINITY
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for