access to the investment suitable to objectives and risk appetite. Aside from products development responsive to lifestyles, the SEC has widened investment channels to promote convenient and continuous
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's 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 Securities Company Limited, had made trading orders before informing the client who did not mak...
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
ผู้แนะนำการลงทุนสาขาแห่งหนึ่ง โดยพบว่ามีการส่งคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าที่อ้างอิงราคาหุ้นของบริษัทจดทะเบียนในตลาดหลักทรัพย์ที่มีการซื้อหรือขายในปริมาณมากในลักษณะ Block Trade (Single Stock
Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of
bond liquidity, investors’ knowledge on debt securities, intermediaries and market professionals’ duty performance, the development of shared infrastructures and market database, and high-risk debt
Bangkok, 8 November 2017 ? In the continued effort to develop the bond market, the SEC is revising the relevant rules and regulations to better respond to the changing market conditions and investors? demands. This is to ensure that debt securities will continue to be a key product of choice for fund mobilization, while investors are better protected. Assistant Secretary?General Charuphan Intararoong said: ?The bond market is one of the three pillars of the Thai economy apart from equity and co...
development. Out of the total 550 participating ASEAN firms, two Thai firms are among TOP 5 while 24 Thai companies, up by six from 2013, are among TOP 50, Dr. Bandid Nijathaworn, President & CEO of the Thai
as well as listed companies, supporting sustainable development of Thai capital market. Vorapol Socatiyanurak, SEC Secretary-General, said the revamped ?CG Thailand? website serves as the information
Bangkok, February 21, 2014 ? The SEC and the PwC Thailand co-hosted the seminar ?Challenges facing audit committees on listed companies? sustainable development? to provide a venue for discussion and