Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

, 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

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

The Securities and Exchange Commission (SEC), in collaboration with the Thailand Greenhouse Gas Management Organization (Public Organization) (TGO), organized an online training session on “Advancing

Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

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