Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation....
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
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
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
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
methodology and a highly consultative approach. It highlights investor sentiment in subsectors and broad opportunity areas, while also suggesting viable business models that can be supported.Private sector
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
Gazette on 27 February 2024. The deadline is set on 27 March 2024*. In order to prevent the holders of bonds and bills from losing their entitlement to the debt repayment, the SEC is therefore suggesting