Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
As a capital market regulator, the SEC is Thailand’s first governmental agency to have become an official supporter of the Task Force on Climate-related Financial Disclosure (TCFD) since 30th
business and market environment; multidimensional development of ecosystem by taking into account views and opinions from all stakeholders; and focusing on root cause or target group in order to provide
manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the
Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
manager position, used inside information on the operating results from the fourth quarter of 2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such
Mobility of Professional ACMF Pass holder is exempted from taking local examinations concerning host’s Laws and Regulations Information on the laws and regulations relevant to performing duty as Recognised
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated
Complex Type 2 Investment Consultant