have alternatives by using the capital market to accumulate wealth in the long run.SEC studied regulations in other countries to find proper guidelines for supervision, which focus on standardized
attentiveness and accumulate knowledge of market personnel regarding developments in international capital markets, promote academic opportunities and expand perspectives of such personnel through global
SEC Secretary-General Rapee Sucharitakul said “SEC aims to provide people in general access to the capital market as a source to accumulate long-term financial stability. However, until now
One of the SEC objectives is to support investors to develop a robust financial health, using the capital market to accumulate wealth in response to their needs. As such, to expand investment choices
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
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
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
the development of the application that would be beneficial for investors, with which basic information can be convenient found and inspected. This application is another one of the measures
Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be