more.About SECThe Securities and Exchange Commission, Thailand (SEC) is a state agency established by virtue of the Securities and Exchange Act B.E. 2535 (1992), with the main duties to promote, develop and
proper, and efficient operational systems and personnel to provide continuous services for the best interest of their clients, whereby the business operators’ personnel can perform their duties properly
-disclosure of material facts that could influence investment decisions, failure of directors or executives of listed companies to perform fiduciary duties and using or allowing other persons to use a nominee
her employement and had her pay compensation to the inflicted client in full.Panita and Nitchawan have failed to perform their duties or provide services honestly. Their misconducts were deemed wrongful
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
fiduciary duties owed to their clients would undermine the integrity of the industry and the capital market as a whole. The SEC will not tolerate dishonest conducts of market professionals who seek personal
the assessment of AGM quality. In the past years, the project members have performed their duties very well and helped raise awareness among major shareholders and the corporate management to realize
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(2) of the
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated