The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
to provide securities advisory and analysis services to Thai investors under the Framework of ACMF, for example, they must be approved as another type of “capital market professional” under the
Limited Brokerage Dealing Underwriting (LBDU) to provide the said services in a bid to facilitate access to investment in foreign products for the investors. In this regard, offering of ASEAN CIS will be
world. SEC thus promotes application of ESG principles in the Thai capital market in all aspects, from the areas of products, issuers, investors and the preparation for readiness of intermediaries* as
offences in the capital market, all of which would greatly improve the chance of success in law enforcement and prevention against violations in the capital market. The workshop was held on 15 to 16
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
Bangkok, April 10, 2015 - The SEC summarized the development and supervision on the capital market from late 2011 to early 2015 with achievements in lifting up the Thai capital market to match the
regarding equity and convertible debenture offering, with a view to provide SMEs and Startups more choices when decide to raise funds in the capital market. In addition, SEC is currently in the process of
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years