advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), delivered the opening remarks at an annual seminar titled, “Understanding the Thai Capital Market
session was delivered by Assoc. Prof. Dr. Suriyadeo Tripathi, Director of the Moral Center, aiming to enhance the understanding of ethical and moral standards of government officials as well as the SEC
Bangkok, June 5, 2015 ? SEC Secretary-General talked strategy and vision, emphasizing on understanding business and improvement of ecosystem where regulations are practical and developed from the
to related preventive measures. This initiative aims to deepen understanding and strengthen organizational governance, ensuring transparency, accountability, and a corruption-free environment. The
The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of Financial Technology (FinTech) to facilitate greater access to finance and business opportunity for Thai FinTech industry; and sustainable finance such as promoting green bonds and climate risk disclosure for listed companies. Initially, specific areas of focus will include green bonds, the fintech ecosystem, e-Know Your Customer,...
SEC Secretary-General Rapee Sucharitakul (1st from right) signed the Memorandum of Understanding on Cross-border Publication of Research Reports with the regulators from Malaysia, the Philippines
, especially when solicited and promised higher profits with no risks. If the investing public are not observant, not informed, and not fully of the understanding of the products, or if they invest in