Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
“The Development Direction of Provident Funds” seminar 30/07/2024 SEC media briefing on law enforcement and Thai ESG revised rules in July 2024 24/07/2024 SEC, UNDP and IOM co-organize a workshop on
the Thai Chamber of Commerce 30/07/2024 SEC media briefing on law enforcement and Thai ESG revised rules in July 2024 24/07/2024 SEC, UNDP and IOM co-organize a workshop on “Human Rights Due Diligence
the Thai Chamber of Commerce 30/07/2024 SEC media briefing on law enforcement and Thai ESG revised rules in July 2024 24/07/2024 SEC, UNDP and IOM co-organize a workshop on “Human Rights Due Diligence