opportunity for new comers to perform technical analysis function in the capital market. The approval term will last two years, providing that the technical analysts will be required to pass certain

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

. For example, an offering at the market price does not require the approval of the shareholders’ meeting while an offering at a lower-than-market price requires the approval of the shareholders’ meeting

benefit of themselves or others. The SEC therefore imposed the following sanctions:*Revocation of {C} and {D}'s approval status as capital market investment consultant and will not consider their

SEC’s approach to supporting and driving the business sector toward a green economy, including the Capital Market Supervisory Board’s approval of revisions to the relevant regulations to accommodate the

suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the

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

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance  of re-application for approval as capital market personnel for

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re