possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees. In proposing the rule changes, the SEC took into
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
efficiently, by taking the following actions: (1) Amend the company’s financial condition to comply with the fund requirements as prescribed in Clause 15 of the SEC Notification No. Kor Thor. 19/2561 Re
create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial
recommendations gathered from the previous hearings on the governing principles taking place in May and June 2017.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties
operations and its status as a listed company may be in jeopardy if the meeting fails to agree on the election of new directors. The extraordinary general meeting No.1/2018 is scheduled to take place on
and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard to the following cases taking place at
a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open