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...
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
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
The Securities and Exchange Commission (SEC) organized a training session for “New Generation Fund Managers with Environmental Awareness, Class 1” aimed at fostering the role of emerging fund
The Securities and Exchange Commission (SEC) organized a virtual training session on “Ethical and Moral Standards of the SEC Staff and the Building of Trust and Confidence in the SEC”. The online
realized the importance of business preparation in this matter. For this reason, SEC is set to launch an online training under the topic of “Incident Response from the Pentester’s Eyes View” and
, to attend an ESG training course in addition to the existing compulsory training courses on rules and regulations, ethics or relevant laws, to ensure sufficient knowledge and regular review thereof in
believes that this kind of training course will help the business sector to seamlessly integrate human rights into their business operations. During the meeting, Assistant Professor Dr. Parina Srivanit
The Securities and Exchange Commission (SEC), in collaboration with the United Nations Development Programme (UNDP), co-organized a training session on “SDG Guidebook for Thai Listed Companies and