Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
Bangkok, November 19, 2014 - The SEC organized ?5th SEC Working Papers Forum?, presented two research papers addressing ?Behavioral Finance and Regulations Who won and Who lost?? The studies found that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment alternatives.Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the 5th SEC Working Papers Forum, organ...
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
Chantanayingyong, Acting SEC Secretary-General, said that the 3rd SEC Working Papers Forum, 2015 presented the research papers of Kasetsart University concerning liquidity and noise trader behavior in the Stock
yet started saving money for their retirement. Furthermore, financial behavior survey indicated ?5 Lacks? as follows: (1) Lack discipline to track spending that caused the household debt rose to 83% of
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมกับคณะเศรษฐศาสตร์ และคณะพาณิชยศาสตร์และการบัญชี จุฬาลงกรณ์มหาวิทยาลัย นำเสนอผลงานวิจัยหัวข้อ “Risk Taking Behavior during Downturn
customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as