responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
person not the owner of securities trading accounts were failure to perform duties with responsibility and due care as the capital market professional, disguising that trading decisions were not actually
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
care of the Ministry of Social Development and Human Security (MSDHS). The award was presented by MSDHS Minister, Mr. Varawut Silpa-archa, at the National Children’s Day 2024 event on 13 January 2024 at
On 14 August 2019, the SEC and 12 organizations in the capital market officially co-launched the Capital Market Governance Promotion Initiative in Celebration of HM the King’s Coronation with the
The Securities and Exchange Commission (SEC) organized the SEC Capital Market Symposium 2023, an annual seminar to foster collaboration in research and dissemination of academic papers on capital