Association under the Royal Patronage of His Majesty the King. Currently, she is a member of the SEC Takeover Panel (Legal Expert) and an executive at a legal consulting firm.
expert at the Office of Insurance Commission, and chairman and director of listed companies on the Stock Exchange of Thailand.Mr. Viput Ongsakul obtained a Bachelor’s Degree in Engineering, Chulalongkorn
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในการประชุม “Expert group meeting on Public Debt and Sustainable Financing in Asia and the
special case expert and acting Director of the Bureau of Legal Affairs, the Department of Special Investigation (DSI), the Ministry of Justice. With over a decade of experience in special case investigation
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
“Policy Directions on Sustainability-related Financial Disclosures,” exchanging the SEC’s sustainability disclosure policy from the regulatory perspectives with expert experience in Thailand and the
Bangkok, June 21, 2016 ? The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset