. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
Complex Type 1 Investment Consultant
Paragraph 1 of Section 296 and Section 296/2 of the SEA, as amended by the SEA No. 5 in 2016. The Civil Sanction Committee (CSC) has resolved to impose civil sanctions* on those three offenders, comprising
Bangkok, 10 January 2017 ? The SEC has announced the three-year strategic plan (2017-2019), which focuses on driving the Thai capital market competitiveness with financial technology. The plan aims
3 คำอธิบายประกอบการจัดทำคำขอรับความเห็นชอบระบบงานเกี่ยวกับการประกอบธุรกิจหลักทรัพย์ ประเภทการเป็นที่ปรึกษาการลงทุนของบริษัทหลักทรัพย์ที่ได้รับใบอนุญาตแล้ว ความพร้อมของระบบงานในการประกอบธุรกิจการเป็น
: 2. An increase in the interest rate of SNW224A, SNW231A and SNW233A bonds from 8.00% per year to 8.50% per year throughout the extended periods; 3. Approval of a waiver for the failure to maintain
December 2019, SEC will not accept his future application for approval as personnel in the capital market business for three months and 22 days, starting from 6 March 2020; (3) Suspending
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge