SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a

Mr. Thawatchai Pittayasophon, Deputy Secretary-General, acting Secretary-General of the Securities and Exchange Commission (SEC), and Deputy Secretaries-General, i.e., Mrs. Waratchya Srimachand, Ms

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

Bangkok, December 30, 2010 - The SEC filed an additional criminal complaint with the Department of Special Investigation (DSI) against Ratchasak Susewi, former Chairman and Chief Executive Officer of

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

Bangkok, August 6, 2014 - The SEC, jointly with four leading business schools, organized ?1st SEC Working Papers Forum? where the Faculty of Commerce and Accountancy, Chulalongkorn University

of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended

Bangkok, October 24, 2014 ? The SEC and the Faculty of Business Administration, National Institute of Development Administration (NIDA) co-organized the ?4th SEC Working Papers Forum,? under the

Following an inspection report from ttb Bank and the SEC’s further investigation, it was found that during the years 2015 – 2024 Sareerat acted in a manner that implied dishonesty and committed