SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators  through the use of principle-based regulations due to the fact that business

principles into their business practice in order to create sustainable value in the face of external uncertainties. In this regard, SEC, SET, IOD and Thai Listed Companies Association are ready to assist and

Bangkok, January 22, 2009 ? The SEC has devoted its resources into the inspections of documentary evidence which may be related to the case of possible violation of securities laws involving S.E.C

Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of

, regulators, and credit rating agencies in various countries, also help to promote this climate risk disclosure into practical use. For example, by 2025, England has a plan to make all sectors in economic

documents in order to lure the investors into believing that their subscription transactions had been executed and recorded when in fact Napasook did not use the money to subscribe for the fund units as

McGillivray, speaker from CFA Institute for sharing valuable knowledge on ESG through his practical experience at a workshop and mini case study sessions with about 200 Thai professionals from the securities

questions about investment; and (6) “SEC and SME” that provides the information of SEC’s missions for SMEs and Startups. A clip on how-to-use this microsite is available at https://youtu.be/0yFCoaOBi8o.  ---------------------------------------

addition, the Thai capital market is in the fast changing environment and enters into the global competition with other capital markets. As a result, the SEC have to reviews its plans to set the future