incurred the total damage of 6.95 million baht onto the investor.  SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the

originally intended by the investors. Such wrongful acts incurred damages onto several clients, at an initial large sum of 74.8 million baht.  SEC has considered that Napasook failed to perform duties or

IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL © OECD 2011 3 Foreword Since 1999, the Asian Roundtable on Corporate Governance has brought together the most active and influential policy makers

Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which  became effective

client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a

to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount

. 2559 (2016). The Settlement Committee will consider a fine penalty on Mr. King in due course. Meanwhile, due to his deficiencies in duty performance, Mr. King is liable to have prohibited

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

To render assistance and alleviate the impact of the COVID-19 situation on employees and employers, SEC, with AIMC’s suggestion, has proposed for the Ministry of Finance to consider granting a