Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
incorporated in the 4th Capital Market Development Plan (2022-2027), under the “Digitalized Capital Market” strategic direction. The SEC is determined to push forward further development of DIF Web Portal to
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
Bangkok, March 3, 2011- SEC Secretary-General Thirachai Phuvanatnaranubala emphasized that sustainable capital market development requires strong investor base. Nonetheless, most of the Thais are not
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market