Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
In the second phase of the “ESG Product Platform” development, the SEC has introduced further information and details on “sustainability-themed bonds”; e.g., the list of top 10 issuers, detailed
SEC to become a signatory to the EMMoU.The IOSCO EMMoU, built upon the IOSCO MMoU introduced in 2002, was adopted in 2017 to strengthen efficiency in cross-border enforcement cooperation among IOSCO
pandemic, will pose an even greater challenge to commercial banks’ operating performance from the lending rate reduction and assistance measures for crisis-hit clients, including suspension of principal and
eased phase by phase thanks to significant improvement in controlling the spread of COVID-19 in Thailand. A number of recovery plans were introduced to the market by Thai government; however, Thai economy
and Central Pattana Public Company Limited shared their experiences on SDG implementation, policy setting, and impact measurement. The training further introduced the LGBTQI+ Toolkit, presented by Ms
investors’ awareness through various media. The SEC also introduced tools for verifying investment information, such as the "SEC Check First" application and the "Investor Alert" feature on the SEC website
reporting investment scams, aiming to educate and build investors’ awareness through various media. The SEC also introduced tools for verifying information before making investment decisions, such as the "SEC