Bangkok, April 17, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the Capital Market Supervisory Board has approved revision on regulations to allow retail investor to make overseas
attractive investment destination from all over the world. As Thai capital market regulator, the SEC has always put this issue amongst its priorities and given full support.?Thailand Investment Conference on
Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders
Bangkok, June 25, 2012 ? The SEC Board and the Capital Market Supervisory Board resolved to specify types of accredited investors (AI) and allow an offer for sale of the following products to AI: (1
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
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
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold