, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions:             (1) {D

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

sound financial health. Moreover, this aligns with the country's sustainable development goals and the SEC Strategic Plan, which aims to build a sustainable capital market. In this regard, the capital

Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department and SEC Ambassadors, provided financial literacy lectures to 1,449 freshmen at  Kasetsart

Bangkok, September 24, 2013 ? The SEC jointly with 13 alliances today signed a memorandum of understanding (MOU) to implement the ?Financial Literacy: Road to Thailand?s Prosperity? project which

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

? behaviors that could be useful for designing guidelines for financial education suitable for different target groups.Arnond Sakworawich, Ph.D., NIDA Graduate School of Applied Statistics, has summed up his