Structure Investment Management Supervision Dept. 44 staff Broker-Dealer Supervision Dept. 43 staff Investment Advisor Supervision Dept. 32 staff Research Dept. 26 staff Corporate Affairs Dept. 24 staff
investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, the SEC conducted further investigation
P.T. Research Co., Ltd. P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). This
personal data The SEC Office receives your personal data from: Information on relationships between different groups of persons from cases under investigation: The SET Group, securities companies, and
clearly, securities firms were to include in their research corporate governance assessment ratings of listed companies, and relevant regulations were revised to strengthen net capital rules of securities
The author thanks Mr. Chirasakdi and Mrs. Saijai Poonpol for their generous research grant also thanks Professor Anya khanthavit, Mr. Nopadon Nimmanpipak, Dr. Pokpong Chirayukool, Mr. Woraphon
companies from the Bank of Thailand; 2. Letters seeking legal opinion and invitation letters for seminars; 3. Research, risk monitoring from Bloomberg. ✓ 1.2 Sources of personal data The SEC Office receives
For Integrating ESG Information into Equity Analysis and Research Reports (by CFA Institute) Guidance SHARE : Detail Content Guidance For Integrating ESG Information into Equity Analysis and
CFA INSTITUTE STATEMENT ON “GUIDANCE FOR INTEGRATING ESG INFORMATION INTO EQUITY ANALYSIS AND RESEARCH REPORTS” CFA Institute commends the SEC Thailand for promoting a diligent and thorough approach