, especially those products for which the investment consultants  receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the

of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the

Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital

Bangkok, October 17, 2008 ? At their quarterly meeting held on October 16, 2008, the SEC and the Association of Securities Companies (ASCO) discussed the resiliency of securities surveillance system and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered.   SEC Secretary-General Thirachai Phuvanatnaranubala said: ?Securities firms? financial position is still robus...

In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows:           (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...

members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as

clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________

law and other relevant laws, the SEC immediately took the following actions on the SECC case so as to ensure investor confidence in the market orderliness and stability of the securities trading

operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs

-General, Mrs. Pornanong Budsaratragoon, on the topic, “Directions for Regulating and Developing the Thai Capital Market to Build Trust and Confidence and Promote National Sustainability.”Mr. Srettha