consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
responsibility must be lived up with to boost confidence and upgrade standards in corporate governance for companies listed in Thailand.Mr. Rapee Sucharitakul, Secretary-General of the Securities and Exchange
at the SEC Building.The cyber drill was part of the joint action plan since the establishment of the Thai Capital Market CERT or TCM-CERT, which aims to upgrade the Thai capital market's capacity in
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
capital market. Meanwhile, there will be measures to upgrade investor protection in line with investment risks.Furthermore, there were discussions on how to cooperate, promote and support financial
company must upgrade its operating system and risk management systems to support the additionally approved securities classes. The consultation paper is available at www.sec.or.th/hearing
credit rating assignment by international CRAs established under foreign law, and the bonds must receive an issue rating not lower than the investment-grade level. This does not apply to private placements
Commission (SEC) on this exciting engagement on the topic of assessing the landscape of Thai securities businesses after COVID-19 and under digital disruption. This assignment is timely for the SEC to