Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the
act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
capital-market mechanisms. Crowdfunding is another alternative that helps enterprises to raise fund. Presently, there are three approved funding portals and several entities have expressed interest to
The Securities and Exchange Commission (SEC), in collaboration with the Ministry of Digital Economy and Society, the Anti-Money Laundering Office, and key capital market alliances, has launched an "Anti-scam Hotline” scheme to provide direct channels for reporting investment scams at tel. 1207 ext. 22, or via SEC website at www.sec.or.th/scamalert, or email at scamalert@sec.or.th. The SEC has expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to...
Bangkok, January 6, 2015 - The Securities and Exchange Commission, Thailand (SEC) and the National Institute of Development Administration (NIDA) signed a memorandum of understanding (MOU) to form ?Academic Alliance? project to develop knowledge management for public and private sectors as well as economic, social and capital market development. The project aims at creating quality graduates through a variety of academic projects. Vorapol Socatiyanurak, SEC Secretary-General said, "This MOU sign...
Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to select their appropriate choice of investment policy, which would result in a sufficient grow...
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for