suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
On 8 December, 2023, Mrs. Pornanong Budsaratragoon, SEC Secretary-General and the SEC management met with Mr. Yingyong Nilasena, TIA President, together with the committee and advisors of the association and the directors of TIA’s Shareholder Rights Protection Volunteer Club, and discussed the ways to enhance shareholder and investor rights protection in response to the changes in capital market ecosystem, including the issue of class action lawsuit.“TIA is one of the market participants that ha...
comprehensive direction towards an ecosystem for sustainable capital market development, as well as an ASEAN asset class for sustainable investment. The members agreed that the Roadmap should address key areas
believes that this kind of training course will help the business sector to seamlessly integrate human rights into their business operations. During the meeting, Assistant Professor Dr. Parina Srivanit
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
giving away cash to the people and welfare payments to the unemployed. While employment remained weak, Policy clarity Direction of the business team and political climate It is a huge risk to the future
submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the