sanction on the capital market auditor in the Securities and Exchange Act and to repeal and replace the provisions on renewal of the approval of the capital market auditor every 5 years with a permanent

Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction

The SEC Civil Sanction Committee (CSC) had earlier passed a resolution to impose civil sanctions on all six offenders of the case, namely: (1) Mrs. Chatkaew Gajaseni, (2) Ms. Lapat-orn Gajaseni

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval

instruments type 1 for {A} and {B} and the approval period as investment planner for {B} will expire on 31 December 2020, SEC has therefore suspended their approvals, from the effective date of the sanction

will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s

offenses. The Civil Sanction Committee (CSC) has therefore resolved to impose civil sanctions on both offenders, requiring Mrs. Vally Sungsiri to pay a civil penalty totaling 15,297,812.50 baht and  Miss

Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an

The SEC Civil Sanction Committee (CSC) had earlier resolved to impose civil sanctions on 14 offenders* for manipulating share prices of the SCI Electric Public Company Limited (SCI), the Global