legal execution against offenders. It is the integration of collaboration between the three agencies, supporting the functions of each agency including exchanging information, knowledge and expertise in
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
collaboratively by investors Best Practices in Engagement 6 What is engagement? Dialogue between an investor (or an engagement service provider) and decision maker (such as companies), to improve ESG practices
During the meeting, both parties discussed the importance of enhancing cooperation between CSRC and SEC Thailand based on MoU signed in 2007, in response to global and regional challenges, and
specified in the employment contract. The remuneration’s criteria were previously stated in the Company’s regulations, which were later changed to clearly distinguish between renumeration for directors and
Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of
SYNPHAET CO.,LTD Between December 2014 to December 2021, SYNPHAET CO.,LTD offer to sell newly issued securities in the category of Promissory Note (P/N) without approval from the SEC Office which is
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a
Bitkub Online Co., Ltd Between January 5, 2021 and January 24, 2021, Bitkub Online Co., Ltd (“Bitkub”), as a Digital Asset Exchange, consented a person who is not a director or executive of Bitkub to