On 15 November 2022, the Capital Market Supervisory Baord Meeting No. 11/2565 passed a resolution approving the proposal for amendment to the regulations on equity allocation to promote clarity. The

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

, the institutional investors this year pushed for more concrete cooperation in determining proxy voting guidelines to promote good corporate governance, corporate social responsibility and anti

Bangkok, May 30, 2014 ? The SEC is seeking public comment on revision of rules governing advertisement of all capital market products for more clarity and practicality.  The revisions also address

flexibility and clarity.  The revisions include, for instance, allowing issuance of structured notes denominated in Thai and foreign currencies; harmonizing issuers? types and qualifications both in public

could affect the preparation of financial statements of listed companies. The main objective of the guidelines is to ensure clarity of application of accounting standards in financial statements of