Initiative, as submitted in their activity reports to the SEC, are a means of imparting financial and investment knowledge to the public apart from the businesses’ normal product sales practices. The
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
sincerely for recognizing the power of knowledge and sharing their financial and investment knowledge and skills for the public to apply in building a good quality of life. The Thai capital market stands
false or misleading information: elements of crime will be extended to cover more persons and wrongful acts and offences related to imparting or dissemination of projection by using distorted information
of predicate offenses under the Anti-Money Laundering Act to include the offense relating to unfair securities trading under the Securities and Exchange Act; comprising imparting false or misleading
advice with bias, not based on professional standards, and without supporting studies/researches or imparting rumors. For {E}, his action was considered using client account to trade securities for the
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an
their study visit. This visit featured a knowledge-sharing session on the SEC’s role in capital market regulation, including asset offering and supervision of equity, bonds, and digital assets. The