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
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
Bangkok, 17 May 2018 ? The SEC is seeking public comments on the principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens
(SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible
According to the first paragraph of Section 23 of Provident Fund Act, when an employee’s membership terminates on a cause other than the dissolution of the fund, the fund manager shall make payment out of the fund to the employee in accordance with the rules and procedures provided in the fund’s articles and as prescribed by Section 23/1, and such payment shall be made in one lump sum within thirty days from the date of termination of membership. However, in practice, the payment could no...
Entitled “WEPs Principles to Actions,” the workshop was conducted in partnership with the Securities and Exchange Commission, Thailand (SEC), and Thai Listed Companies Association (TLCA), as part
Sustainable development in the environmental area has become an important goal both nationally and internationally. The public sector implements policies that support continuing environmental conservation. The SEC, as a capital market regulator, encourages the use of capital market products to support investments in projects that conserve or protect the environment, including the development of areas designated for reforestation or afforestation to promote environmental development in Thailand....
, Indonesia, India, Pakistan and Nepal. Professor Dr. Surya Deva, a member of the UN Working Group on business and human rights, introduced the principles and observations focusing on creating awareness