Bangkok, January 14, 2016 ? SEC Secretary-General Rapee Sucharitakul today announced the SEC Strategic Plan 2016-2018 to stakeholders from all sectors, placing a special focus on well-balanced and fundamental development of ecosystem in the Thai capital market to enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives more weight to practical rules and regulations developed from effective communication and un...

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

resources – and in light of the new responsibilities for private fund advisers – the Dodd- Frank Act also reallocated regulatory responsibility for certain smaller investment advisers to the state securities

Corporate social responsibility (CSR) has several attributes that are inherently unobservable or measured with errors. This study proposes an alternative methodology to account for measurement errors in CSR

Oster’s (2019) testing for coefficient stability. Our results survive all the robustness checks and thus appear to be strongly robust. Therefore, our results likely reflect a causal effect, rather than a

Growth Est Net Flow Source: Morningstar Direct, Data as of 30 October 2015 Key Take-Away 22 gStick to Your Plan /Develop a robust investment plan and stick to if, avoid letting fear or greed drive your