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deadline extension will help a lot of personnel in the capital market business whose approval will expire by the end of this year as well as other affected parties, from business operators to training

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8089

SEC public hearing on a proposed amendment to the regulations on approval of appraisal companies and lead appraisers for capital market transactions to enhance convenience and reduce burdens on the

compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8773

Draft Regulation Relating to the Exemption from the CMSB’s approval for Rules and Regulations of the Licensed Derivatives Exchange, the Licensed Derivatives Clearing House, the Securities Clearing

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=675

SEC files criminal complaint and revokes capital market auditor’s approval for failing to comply with auditing standards, thereby facilitating fraud and falsification of financial statements of STARK

therefore resolved to revoke the approval of Mr. Nantawat as a capital market auditor for a period of six years. However, as Mr. Nantawat’s approval as a capital market auditor has been terminated due to his

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=12704

SEC suspends an investment consultant

trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5258

SEC suspends a capital investment consultant for making trading decision on client?s behalf

capital market investment consultant for 3 months, effective from June 16, 2015.The investment consultant is unable to make any trading decisions on behalf of the client even with the client's permission

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5972

SEC suspends an investment consultant for trading securities on behalf of clients

the Notification of 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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4920

SEC suspends investment consultants for not taping clients' orders

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4881

SEC sanctions a securities investment consultant for failure to perform duties

Notification of 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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5924

SEC sanctions two investment consultants for trading derivatives on behalf of clients

Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore has suspended Theera for six months. Due to his approval status

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4801