provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities

securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four

Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

proposed investment is subject to shareholders? approval, CWT shareholders should exercise voting rights at the extraordinary shareholders? meeting on July 1, 2015.CWT?s proposal to invest in THB 1,469

in the capital market*, the SEC, therefore suspended the approval as capital market investment consultant of {A} for 9 months. Having considered that she had already been suspended by her employer for

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC

reference. - ราง - Notification of the Capital Market Supervisory Board No. Tor Jor. 63/2561 Re: Approval Rules on Offer for Sale of Newly Issued Bond of Foreign Entity Denominated in Thai Baht

Capital Market Supervisory Board No. TorChor. 34/2551 Re: Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Newly Issued Underlying Shares ------------------------------ By