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
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
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
reference 30 shares group in the SET100 index that has value follwing the market capitalization and has the high and continuous yielding dividend 3 years ago. Results of the Quality Assessment of the Annual
group in the SET100 index that has value follwing the market capitalization and has the high and continuous yielding dividend 3 years ago. Results of the Quality Assessment of the Annual General Meeting
“Empower Your Money: Save Smart, Live Free.” The SEC officials from the Department of Capital Market Education delivered lectures on financial planning for government officials and conducted a workshop on