As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
The SEC Strategic Plan 2024–2026 prioritizes the strengthening of Thai capital market trust and highlighting the critical significance of investor confidence in cultivating a robust capital market
?Academic Alliance? project to develop knowledge management for public and private sectors as well as economic, social and capital market development. The project aims at creating quality graduates through a
for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market