Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

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, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a

The SEC meeting 1/2540 dated January 9, 1997 resolved to approve criteria on the establishment and management of property fund offering investment units for sale to the public. The Office completed

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed

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, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of

Bangkok, May 14, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that ?the SEC in cooperation with Association of Provident Fund will organize seminar on ?Target Date Fund; new investment