The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC) and the Thai Bankers’ Association, organized the Financial
Miss Areewan Aimdilokwong, Assistant Secretary-General of the Securities and Exchange Commission (SEC), delivered opening remarks at the “Kick Off – AGM Checklist 2026” event organized by the Thai
regulatory oversight in response to future changes. The lectures were delivered as part of the Prep for Fund Manager: Professional Preparation Program for Financial Advisors, Batch 5, organized by KH Academy
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
ลักษณะเป็น Plain Vanilla Coupon Bond แต่ตราสารดังกล่าวใช้ชื่อว่า Structured Notes ที่ออกภายใต้ Structured Note Program เนื่องจากธนาคารได้ขออนุญาต