the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
The Securities and Exchange Commission (SEC), in collaboration with the Principles for Responsible Investment (PRI) and the Asia Investor Group on Climate Change (AIGCC), organized an in-depth training workshop titled “Deep-dive Masterclass on ICAPs Expectations Ladder: Governance.” This workshop aimed to strengthen the capacity and enhance responsible investment practices among asset management companies through actionable climate action plans, focusing on the governance aspect in line wi...
The Securities and Exchange Commission (SEC), in collaboration with Manoottangwai (meaning “people of different generations”) content creator, organized the "Lifelong Investing for the 50+" Campaign and a Personal Finance 101 workshop for people aged 50 and above. The workshop aimed to help participants practice managing their portfolios based on their risk levels, share experiences of falling victims to investment scams, and learn positive financial planning strategies for retirement. Ms...
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission, Thailand (SEC), delivered a keynote address at the 39th ASEAN+3 Bond Market Forum (ABMF) Meeting, co-organized by the Asian Development Bank (ADB), the SEC, the Stock Exchange of Thailand (SET), and the Thai Bond Market Association (ThaiBMA). Her address highlighted the SEC’s regulatory direction for capital market development, the building of trust and confidence, and collaboration across sectors to prom...
The Securities and Exchange Commission (SEC), the Economic Crime Suppression Division of the Royal Thai Police (ECD) and the Thai Digital Asset Operators Trade Association (TDO) jointly organized a workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan Kongsakul, SEC Deputy Secretary-General, gave welcoming remarks and presided over the opening c...
The Securities and Exchange Commission (SEC) collaborated with the Asia Investor Group on Climate Change (AIGCC) in organizing an online workshop on the topic, "Developing a Climate Action Transition Plan for Investors" to raise awareness and enhance asset management companies’ skills considering the opportunities and risks of climate change. This involves creating a clear, comprehensive, and measurable climate action plan in alignment with Thailand's goal of achieving Net Zero Emissions b...
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster a better understanding among securities companies regarding risks and managing risks appropriately according to the nature of their businesses. Additionally, the event also aimed to build trust and confidence in the Thai capital market. During the event, Mrs. Pornanong Budsaratragoon, SEC Secreta...
This seminar aimed to provide in-depth knowledge and strengthen the capacity of the business sector to raise funds under the framework of Transition Finance, facilitating a credible transition to a low-carbon society. It featured sharing of experiences and perspectives among international experts, focusing on the key elements for developing a transition plan, tools for evaluating and selecting transition activities, as well as investor expectations for promoting transitions. Additionally,...
The Securities and Exchange Commission (SEC), in collaboration with the Stock Exchange of Thailand (SET), organized a seminar titled "Three Lines of Defense for Listed Companies" under the Strengthening Corporate Governance of Listed Companies Initiative. The event aimed to foster good corporate governance among listed companies as a key mechanism for enhancing trust and confidence in the Thai capital market. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Mr. Asadej Kongsiri, SET Pres...
Developing Thailand Taxonomy is the first initiative among the five Key Strategic Initiatives (KSIs) to be driven by the Board according to the work plan under the framework of Sustainable Finance Initiative for Thailand that set the direction for driving sustainable finance across the financial sector. The Board, co-led by the BOT and the SEC, consists of relevant parties from the public and private sectors, as well as the financial institutions*. With the opening speeches delivered by Mr. Thal...