responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management

.​   Our Roles How We Regulate https://www.sec.or.th/EN/Pages/AboutUs/OrganizationStructure.aspx English (United States) Working Principles , executives and staff covers the following areas: Accountability

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 41/2553 Re: Granting of Approval of Financial Advisors and Their Scope of Work (No. 2) dated 6 October 2010 (effective on 16

original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or

Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or

. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of