first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to
securities, which must have liquidity and reliable market price or reference price, are, namely (1) bonds registered with the Thai Bond Market Association and being government bonds or being given
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, November 14, 2014 ? The SEC revised the criteria for Turnover List preparation to better reflect current market environment. On December 4, 2014, the first Turnover List prepared under the
-classification into six enriched sections aims to serve all user groups, including:(1) About us: Overview of the SEC;(2) Market development: Direction and role of the SEC in capital market development including
annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016. SEC Act S.56 and 199
Esteemed Networks Group Ltd. Esteemed Networks Group Ltd. failed to report the acquisition of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement