Mr. A did not consent to bring an end to the case at the SEC level, the SEC therefore decided to send a letter to the prosecutor to file a civil lawsuit against Mr. A and press for civil sanctions
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
market. Investor contacts are obliged to send trading orders into the Stock Exchange of Thailand's trading system properly and not get involved in any wrongdoing. Any investor contact who fails to comply
นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวเปิดงาน “Leading the Change: Driving Sustainability Aspiration into Action” ซึ่งจัดโดย ก.ล.ต. และ
highlights the application of Human Rights Due Diligence (HRDD) throughout the value chain, leading to effective disclosure practices. The seminar took place on 17 June 2024, in Nonthaburi Province.
นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเป็นวิทยากรในงานเสวนาออนไลน์ virtual CBI 2020 Annual Conference Green Transitions หัวข้อ Leading
global effort to reduce carbon emissions leading to global warming. SEC has therefore upgraded the Online Fund Approval and Management System (“OFAM”) to accommodate paperless filings.Businesses can
authorities to keep pace with innovations and address emerging complex challenges. This MoU also underlines SEC Thailand’s focus on strengthening relationships with leading regulatory authorities, including