Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
-corruption Progress Indicators record shows a continued progress across the board. For example, in 2014, the majority or 29.10 percent of the listed firms were ranked at Level 2, which indicates declaration of
On 19 September 2023, Mrs. Pornanong Budsaratragoon officially commenced her role as Secretary-General of the Office of the Securities and Exchange Commission (SEC). The management and staff extended
The Securities and Exchange Commission (SEC), led by the management team and staff, participated in blood donation for royal charity in commemoration of the Birthday Anniversary of His Majesty King
. Jomkwan Kongsakul and Mr. Anek Yooyuen, along with SEC executives and staff, participated in a merit-making ceremony on the occasion of the New Year's Day 2024 at the SEC Building on 4 January 2024.
, from the board of directors (including the investment committee) to the management and staff of relevant business units; Principle 2: Institutional investors should prevent and manage conflicts of
Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), along with the executive team and staff, participated in the International Anti-Corruption Day
Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), along with the executive team and staff, participated in the International Anti-Corruption Day
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record