roles in driving and fostering listed companies to operate responsibly in relation to ESG, and exchanged views on good governance practices, which are an essential foundation for creating sustainable
Future Foundation (TFF), as moderator. The seminar was organized by TFF under the endorsement of the Capital Market Development Fund (CMDF) with the main objective of sharing perspectives and guidelines
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing misconduct, an inspection report from the bank and the SEC's further investigation have revealed t...
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 25/05/2018 - 06/06/2018
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 01/12/2016 - 16/12/2016
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 12/11/2018 - 21/11/2018
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Long Term Equity Fund : LTF,Super Savings Fund : SSF | Offering Date : 01/10/2004 - 20/10/2004
Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information (mobile number and email address) with her own information to register for the bank’s internet...
Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, clarified: “The SEC, to the best effort, has taken actions under the authority in this case, e.g., instructing the company to disclose information, extend the scope of special audit, and notify investors; and cooperating with relevant law enforcement agencies. We have, so far, made substantial progress in the investigations into the case. With regard to investor rights protection, the SEC has rendered ful...