Bangkok, October 30, 2015 ? The Thai capital market is making progress toward adoption of the Organisation for Economic Co-operation and Development (OECD)?s revised Principles of Corporate Governance, which have been released at the 2015 OECD-Asian Roundtable on Corporate Governance in Bangkok today. Co-hosted by the OECD, the SEC, the Stock Exchange of Thailand (SET) and the Thai Institute of Directors Association (IOD) in partnership with the Government of Japan, the roundtable is a forum f...
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...
Type of securities : Common share | Effective Date : 22/11/2022 | Close Selling Date : 30/11/2022
Type of securities : Common share | Effective Date : 07/10/2022 | Close Selling Date : 26/10/2022
SEC has teamed up with the United Nations Development Program (UNDP) and the Global Compact Network Thailand (GCNT) in organizing a seminar titled, “From ESG to SDGs : Integrating SDGs Impact Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN Sustainable Development Goals (SDGs).The seminar was held at The Athenee Hotel Bangkok, on 24 Febr...
During his opening remarks, Dr. Charnkrij Dejvitak, Vice Minister attached to the Prime Minister, as representative of the Minister of Finance, stated: “To achieve the Sustainable Development Goals (SDGs), the government cannot do it alone. It will require a shared responsibility and strong engagements of all stakeholders. Private sectors need to play a critical role in working hand in hand with the government to advance the course of development, and businesses are encouraged to invest i...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
WORLD MEDICAL ALLIANCE(THAILAND) CO., LTD. World Medical Alliance (Thailand) Company Limited (WMA), a securities issuer, had a duty to prepare and submit the financial statement for the year 2021
and related person as following details: Borrower Mana Patanakarn Company Limited as a subsidiary of Nawarat Patanakarn Public Company Limited (“the Company”) Lender 1. K Alliance Company Limited 2. Mrs
regulation would prohibit digital asset business operators from: (1) Accepting deposits of digital assets from the customers and lending, investing, staking or employing such digital assets; (2) Accepting