Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and

The enhancement of fund managers’ duty performance in accordance with I-Code** will be  supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund  (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...

under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands

. ____________________ *   The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according

? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the

, who are trainees in a capability enhancement course for OAC personnel preparing for promotion to senior specialist roles, participated in a knowledge-sharing session titled “Decoding Success in

clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek

orders without client authorization are deemed interference with clients assets and unprofessional duty performance without clients best interest in mind. Such misconducts may cause damage to clients and

worth and higher risk-taking capability (non-retail investors). The qualified investors will be allowed to invest in complex instruments suitable for their risk profile while receiving appropriate level