Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that {A} had solicited a client to invest in derivatives products by guaranteeing returns; the clien...
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing misconduct, an inspection report from the bank and the SEC's further investigation have revealed t...
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 has become
of listed companies during the COVID-19 outbreak. Due to the possibility of unpredictable outcomes, accounting estimates for the preparation of financial statements can be quite a challenge. In this
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
required to conduct a knowledge test on investors before providing services to them. The consultation paper is available at https://bit.ly/3knvOOk. Stakeholders and interested parties are welcome to
การเงินจากหลายประเทศทั่วโลกเข้าร่วม อาทิ Securities and Exchange Commission (สหรัฐอเมริกา) Financial Conduct Authority (สหราชอาณาจักร) Monetary Authority of Singapore และ Bank of Ireland โดยมีนาง
การหารือในประเด็นสำคัญต่าง ๆ ที่เกี่ยวข้องกับเสถียรภาพระบบการเงิน รวมถึงประเด็นด้าน sustainability finance และ retail investors conduct ในช่วงการแพร่ระบาดของ COVID 19 เมื่อวันที่ 16 พฤศจิกายน 2564