Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC 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 Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
The Securities and Exchange Commission (SEC), led by Mrs. Pornanong Budsaratragoon, Secretary-General, together with Mr. Thawatchai Pittayasophon and Mr. Anek Yooyuen, Deputy Secretaries-General, and SEC executives, participated in the recording of a televised message of royal felicitations on the auspicious occasion of His Majesty the King’s Birthday Anniversary on 28 July 2026. The recording took place at the National Broadcasting Services of Thailand (NBT) on 9 July 2026.
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international
record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited
has the SME characteristics, as defined in the Ministerial Regulation concerning the Determination of Characteristics of Small and Medium-Sized Enterprise B.E. 2562 (2019), and registers in the
SME characteristics, as defined in the Ministerial Regulation concerning the Determination of Characteristics of Small and Medium-Sized Enterprise B.E. 2562 (2019), and registers in the Capital Market
registers for different types of unitholders. Other asset management companies are improving their internal work systems to facilitate the transfer service as well.