to make repo and reverse repo transactions in compliance with the same regulations imposed on securities companies. The consultation paper is available at https://www.sec.or.th/EN/Pages

Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also

unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant

with a large offering size, and benefit fund mobilization in the capital market.?The proposed rules would be imposed on cornerstone participation in an IPO with a minimum offering size of 5 billion baht

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete

investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed

{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him

Bangkok, July 26, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Mr. Sakorn  Suksriwong for soliciting a person to purchase shares of BFIT Securities Public Company

of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12

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