market services.In carrying out the mandates and tasks under the Strategic Plan, the SEC has adopted the Innovative Organization Plan to strive for becoming a reliable high-performance organization, with
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
The SEC has recently issued a rule revising the definitions of institutional investor, ultra-high net worth investor and high net worth investor* used for investment in financial products under
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน "2021 UN Women WEPs Awards High-Level Dialogue: Envisioning the future for a more gender
Bangkok, October 30, 2014 ? The SEC was elected to be a member of International Organization of Securities Commission (IOSCO) Board at the annual meeting of the IOSCO held in Brazil on September 28
company may have to take on more burden of appointing new auditors from other audit firms. Given such a scenario, audit firms should recruit sufficient auditors in the capital market to perform high quality
List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
for a certain period of time and with high trading volume. Moreover, {A} admitted that he traded securities for a client without any order. Although this client notified him to stop trading, {A