their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
สำคัญในการขับเคลื่อนนวัตกรรมในระบบนิเวศน์นวัตกรรมของไทย จาก ดร.พันธุ์อาจ ชัยรัตน์ ผู้อำนวยการสำนักงานนวัตกรรมแห่งชาติ (องค์การมหาชน) ในงานเชิดชูเกียรติ CHIEF INNOVATION OFFICER (CIO) ซึ่งสำนักงาน
: “As the financial services sector evolves at an unprecedented pace, it is key for regulatory bodies to maintain a constant stream of knowledge exchange to stay abreast of innovation in the sector
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
advice without the use of human financial planner. While embracing financial innovation, the SEC still put highest emphasis to ensure sufficient level of investor protection in the Thai capital
Bangkok, 15 January 2018 ? The SEC has announced today the three-year Strategic Plan 2018-2020 with more focus on provision of wealth advice for long-term well-being of investors and promotion of sustainable efficiency in all aspects of market development.The plan involves several key implementations, including support for entry of wealth advisory service providers, optimum utilization of technologies and innovations to facilitate fast and convenient market access, more efficient cost management...
(ตลาดหลักทรัพย์ฯ) กล่าวเปิดงาน “Innovation Club Strategic Board Dinner 2023 ครั้งที่ 1/2566” ซึ่ง ก.ล.ต. ร่วมกับตลาดหลักทรัพย์ฯ ได้จัดขึ้น เพื่อเปิดโอกาสให้ตัวแทนจากแต่ละหน่วยงานที่เป็นสมาชิกของชมรม
, Bangkok on 24 November 2020. SEC Chairman Pichit Akaratit noted: “Research is a process of creating new knowledge, enabling development and innovation. Research is, therefore, an important mechanism for