To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group ซึ่งมีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และความคืบหน้าในการจัดการประเด็นต่าง ๆ รวมถึงการให้การสนับสนุนสมาชิกจาก IOSCO ใน

personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement

List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

Mr. Thawatchai Pittayasophon, Deputy Secretary-General of the Securities and Exchange Commission (SEC), participated in the Meeting of the Joint Management and Monitoring Center for the Situation in

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to