Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH
responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management
importance of human rights protection in business operation, and to encourage suitable application of the globally recognized UNGPs for businesses of different nature to achieve sustainable development while
listed companies and business sectors in the capital market in reporting carbon footprint for organization. This is an effort of social responsibility and a move towards setting targets and measures for
The SDG Guidebook for Listed Companies is designed to act as a practical guideline for businesses to integrate the Sustainable Development Goals (SDGs) into their business operations and strategies