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
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
SEC Secretary-General Ruenvadee Suwanmongkol said that the SEC emphasizes the role of the capital market in providing reliable and sufficient information to support investors' decision making. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However, most research reports currently available in the capital market mainly cover large-cap stocks. To incr...
Seminar on Capital Market for SMEs) และได้ร่วมประชุมหารือกับผู้แทนจากตลาดหลักทรัพย์เซินเจิ้น (Shenzhen Stock Exchange) ซึ่งนำโดย Mr. Li Hui Executive Vice President โดยได้มีการหารือถึงความร่วมมือระหว่างตลาด
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต) ร่วมสัมมนาออนไลน์ในงาน Asia Pacific Stock Exchanges Webinar Series ภายใต้หัวข้อ “Overview of Equity
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16