Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
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, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed
Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
expire. Please wait... List of approved investment analysts / investment consultants The applicant shall file the application for renewal of approval during the month of
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to
The Capital Market Supervisory Board has approved the proposed amendments to the regulations for offering for sale of newly issued securities by Rehabilitation Listed Company to provide an
, required to offer and sell newly issued securities by the Rehabilitation Plan, with an exemption from submitting an application for approval to the SEC, providing further that the Company must comply with