probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
of by unfair business operations. However, other types of risks are also present, such as business risks of entities and the risk due to volatile prices of digital assets.Lastly, “Knowing SEC’s
establishing a clear timeframe for improved progress of the cooperation program. In this regard , The Management of SEC Thailand also expressed the good will to pay the courtesy visit to His Excellency Mr. Sou
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising
officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
audit firms, with their tremendous effort, have improved their audit quality assurance system in line with quality control standards and thus uplift quality of audit work and financial reports throughout