According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
. The workshop was designed for listed companies interested in adopting the board game as a practical tool to promote financial literacy among employees within their organizations. The workshop was opened
Bangkok, July 23, 2015 ? The SEC has announced organizational restructuring to be more responsive to needs of each stakeholder group. By adopting an ?end-to-end? approach, the restructuring will
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
objectives and principles as notified.Now, SEC is seeking public comments on the guideline of adopting technology in e-KYC, in order for the business operators to have guidelines and confidence in their
Thai capital market.?Adopting the global trend of ethical and responsible investment management and protection of clients? interest, the I Code consists of seven principles, two of which have already
mainly from i) Lower of Share of Profit from Investments due to lower Foreign Exchange Gain, scheduled major maintenance and adopting new accouting standard (TFRS 15) of GHECO-One, and ii) Higher of
that facilitates market participants as they make a smooth transition towards adopting sustainability disclosure standards, e.g., ISSB, IFRS S1 and IFRS S2, in the coming years to support
infrastructure initiative of the Thai Capital Market is a project initiated by SEC and launched on 3 September 2019 with the objective of improving the efficiency of the Thai Capital Market by adopting digital