Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
incorporated in the 4th Capital Market Development Plan (2022-2027), under the “Digitalized Capital Market” strategic direction. The SEC is determined to push forward further development of DIF Web Portal to
On 22 March 2024, the Securities and Exchange Commission (SEC) collaborated with capital market organizations, namely – the Federation of Thai Capital Market Organizations (FETCO), the Stock
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Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independent expert to study relevant laws on supervision of the audit firms and auditors in Thai capital market in
5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of