Mr. A did not consent to bring an end to the case at the SEC level, the SEC therefore decided to send a letter to the prosecutor to file a civil lawsuit against Mr. A and press for civil sanctions
The Securities and Exchange Commission (SEC) organized the Campaign on Campus Initiative under the theme, “From One to Million: Start Early to Big Success,” to share financial and investment knowledge with students at Rajamangala University of Technology Krungthep. The campaign aims to prepare students for making their own investments, promote saving habits, and encourage financial discipline. This event featured expert speakers who delivered financial insights and inspiration talks on various t...
}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC
higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
นวัตกรรมผ่าน regulatory sandbox ในการประชุม Joint Regional Consultative Group for Asia (RCGA) and IOSCO APRC High-level Workshop ที่จัดต่อเนื่องกันด้วย นอกจากนี้การประชุมยังเปิดให้มีการอภิปรายร่วมกันระหว่าง
, and Ms. Nachason Rojsuriyawong, Officer of the Strategy and International Affairs Department, participated in the Annual Director-level Meeting of the Asia-Pacific Regional Committee (APRC) Supervisory
(Public Organization) (DGA). The awards are given to government agencies that have achieved a high level of transformation into a digital government, serving as a role model for other government offices
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the results, 192 firms responded, scoring 70% total preparedness in personal data protection.Business operators, who need to accelerate their preparedness for the Personal Data Protection Act, have been advised by SEC to accelerate the following, four main issues.(1) Considering appropriate legal b...