who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
enterprises to operate in a concrete manner, for all sectors to understand a clear path of development and to play a role in the promotion and encouragement of social enterprises for the communities of the
SEC Secretary-General Ruenvadee Suwanmongkol said that SEC has organized a panel discussion as an academic stage, aiming people to understand the background of “Libra” and which of its parts
) disclosing the balance sheet, the earnings statement and the auditor’s report for public examination at the offices of the Derivatives Exchange and the Derivatives Clearing House; (2) publishing the balance
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
Listed Company Information Disclosure System when NUSA planned to invest in WEH shares. It was stated that NUSA had stipulated that the legal status examination regarding the right of ownership in WEH
China. However, according to the examination, no such deposit for the product to any company in China was found. Instead, a withdrawal or transfer of money out of a savings account of Winsound (Thailand
or concealing facts that should have been disclosed to the public An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the