1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
Consultative Paper áÅÐ Hearing àÃ×èͧ ¡ÒáÃдѺ¼Ùé·Ó˹éÒ·ÕèµÔ´µè͡Ѻ¼Ùéŧ·Ø¹ เอกสารเผยแพร เร่ือง การยกระดับผูทําหนาที่ติดตอผูลงทุน (Single Registration) สํานักงานคณะกรรมการกํากับหลักทรัพยและ
rights, it shall be calculated from “the market price of Company’s ordinary shares” which is equivalent to “the weighted average market price per share of the Company’s ordinary shares” which means the
. Currently, the company 2 is not able to calculate the adjustment ratio of Warrants ECF-W3, since in calculating the price and ratio of new exercise of rights, it shall be calculated from “the market price of