such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater