Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343
reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 49/2555 Re: Issuance and Offer for Sale regarding Units of Real Estate Investment Trust _____________________ By virtue of Section
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart
reference. - ราง - Notification of the Capital Market Supervisory Board No. Tor Jor. 63/2561 Re: Approval Rules on Offer for Sale of Newly Issued Bond of Foreign Entity Denominated in Thai Baht
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a