Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

due course. In 2018, the SEC plans to review and streamline, when appropriate, approximately 250 types of applications to lessen the cost burdens of all parties.With respect to the issuance of new

SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators  through the use of principle-based regulations due to the fact that business

with responsibility, due care and loyalty. As a result, the Civil Sanction Committee ordered {A} to pay a civil fine, compensate the SEC for any expenses incurred from investigating the offence, and

listed companies more funding flexibility while maintaining the ability to meet the targeted fund; and    3. Revise the market price calculations, which are inconsistent due to different criteria for

found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund

by seeking wrongful benefits or embezzling IEC?s assets for himself or other persons. He made IEC enter into a contract with a computer company believed to be a related entity, resulting in IEC having

, then TIES Chief Executive Officer, had been aware of the non-public information that the operating results for the second quarter of 2014 contained a significant loss, half of which was due to the

public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

pursue further action against the offerors and the financial advisor in due course.    # # #