warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
English (United States) Market Misconduct × Home > Laws/Regulations > Regulations > Prevention of
English (United States) Market Misconduct × Home > Laws/Regulations > Regulations > Prevention of
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the
The Sub-committee on Digital Strategy for Capital Market, chaired by Mrs. Methini Thepmanee, has approved the SEC Capital Market Digital Strategic Plan 2020 – 2022, which aims to support
activities in the capital market from pre-trading to post-trading. Thus, business operators possessing useful innovations for investors will have the opportunity to participate in a regulatory sandbox in a
SEC has planned to adopt the DLT or other digital technologies into digital infrastructure of Thai Capital Market. The DLT automatically distributes information to every party in the network in
Institute and CFA Society Thailand to provide insights into how capital market professionals could integrate climate-related risks and opportunities into their analysis and investment decisions. In addition