The SEC Thailand also proposed to be a host country candidate for the IOSCO Annual Conference in 2022 – the year of the SEC Thailand’s 30th Anniversary. The official proposal will be submitted to
Bangkok, June 18, 2015 ? The SEC and the School of Development Economics of National Institute of Development Administration (NIDA) co-organized ?Thai Equity Fund Insight? at the 5th SEC Working Papers Forum, 2015. The SEC jointly with NIDA hosted ?Thai Equity Fund Insight? at the 5th SEC Working Papers Forum, 2015 where the researchers of the SEC and the School of Development Economics, NIDA presented the study on Thai equity fund performance and information of which investors should learn pri...
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
SEC Secretary-General Ruenvadee Suwanmongkol said: “This great opportunity for the SEC to host the IOSCO Annual Meeting for the first time in the history of the SEC since our establishment in 1992
Bangkok, 25 May 2017 ? The SEC and the Business Software Alliance (BSA) will jointly organize a seminar on ?Boards? Roles in Mitigating Cyber Security Risks/Threats: Challenges and Solutions? this month.?The SEC, BSA and technology experts from the private sector will jointly organize the seminar for directors, executives and employees of listed companies to create awareness of the ever-increasing cyber risks and internal control systems to prevent and manage risks that may cause widespread dama...
The Securities and Exchange Commission, Thailand (SEC), the UN Women Regional Office for Asia and the Pacific and the Thai Listed Companies Association (TLCA) jointly organised a seminar titled, “Leadership Role and Sustainable Business,” and the launch of Gender Corner. The event aimed to raise awareness of women in leadership role and gender equality, and to recognise listed companies’ support for promoting women’s participation in the board role. The seminar was held on 1 March 2023 at Grand...