Organization.The Securities and Exchange Commission (SEC), led by the Capital Market Education Department, collaborated with representatives from the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA

days, and (2) Kasikorn Bank Public Company Limited, offering a private placement of foreign currency denominated corporate bonds to domestic institutional investors at the value of 17 million Euro for

emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds

Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities

investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years

Thor. 8/2557, the SEC hereby informed the bank to prohibit {C} from performing the duties as a branch manager with respect to the capital market business. In addition, as {C} is prohibited from

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription

charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already

investors to invest in futures contracts or investment units and told them to transfer their money into her own bank account. The SEC findings showed that Hathaya had never used such money to invest in