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นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ปาฐกถาพิเศษ หัวข้อ “Executive Keynote: A Conversation on Sustainability and Digital Innovation” ในงาน

https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=9648

ก.ล.ต. สนับสนุนการเสริมสร้างความรู้ความเข้าใจของผู้กำกับดูแลการปฏิบัติงาน (Compliance Officer) ของบริษัทหลักทรัพย์ เพื่อเพิ่มประสิทธิภาพภายใต้บริบทที่เปลี่ยนแปลงไป

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) สนับสนุนการจัดอบรมในหลักสูตร “Compliance Officer เพื่อเสริมสร้างความรู้ความเข้าใจ และความคาดหวังในการปฏิบัติหน้าที่ของผู้กำกับดูแลการ

https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=9422

SEC public hearing on draft regulations defining the terms, “executive” and “business in the group” under the Digital Asset Businesses Law and the Securities Law

Bangkok, 2 April 2020 – SEC is seeking public comments on the proposed regulations concerning the definitions of “executive” and “business in the group” under the Digital Asset Businesses Law to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8063

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

SEC public hearing on draft notifications concerning definitions of “executive”, “business in group of digital token issuer” and “business in group of securities issuer”

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=618

SEC files a criminal complaint against 11 offenders (former GGC director, executive and associates) for dishonest acts related to raw material stocks causing damage to GGC, and notifies AMLO

The criminal complaint was imposed on two former GGC director and executive, namely (1) Mr.Jirawat Nooritanon, Managing Director at the time of the offense (during 2014 – 2018), and (2) Mr.Wanlop

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8897

Settlement Committee Order No. 58/2022 Dated 28/03/2022

Mrs. Pattera Dilokrungthirapop Between 22 May 2019 and 12 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities

http://market.sec.or.th/public/idisc/en/Enforce

Settlement Committee Order No. 14/2024 Dated 30/01/2024

Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM

http://market.sec.or.th/public/idisc/en/Enforce

Settlement Committee Order No. 40/2017 Dated 21/06/2017

Mr. Anurag Thareratanavibool Mr. Anurag Thareratanavibool, chief executive officer, responsible for the operation of AI Energy Public Company Limited (?AIE?), shall be liable for AIE?s failure to

http://market.sec.or.th/public/idisc/en/Enforce

Settlement Committee Order No. 33/2017 Dated 17/05/2017

Mr. Thanit Thareratanavibool Mr. Thanit Thareratanavibool, chief executive officer, responsible for the operation of Asian Insulators Public Company Limited (?AI?), shall be liable for AI?s failure

http://market.sec.or.th/public/idisc/en/Enforce