Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the
such as investment consultant registration, ?Pride of the Province? project and making complaints relating to capital market. ?12? stands for 12 months throughout the year while ?07? signifies seven days
Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
Institute of Development Administration (NIDA) to organize ?SEC Working Papers Forum.? The Forum starting by this month aims to provide a platform for capital market research presentation and knowledge
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the