, corporate social responsibility and qualifications of employees in charge of corporate governance.  The proposed revision  would help investors and other stakeholders to gain a greater knowledge of the

, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision? would help investors and other stakeholders to gain a greater knowledge of the

, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision would help investors and other stakeholders to gain a greater knowledge of the

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

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

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

SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...

Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...