Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
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The Approval of Personnel in the Capital Market Business
Bangkok, Jul 14, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board has approved the revisions of rules on filing for equity offering by Thai
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
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
processing and confirming the redemption orders in violation of the tax terms; (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of
SET to consider reviewing and checking whether or not the criteria still reflect true distribution of shares to minority shareholders amid the changing market conditions.” The price of DELTA shares
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed