Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then

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

Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on the proposed drafted to the regulations concerning the approval process for a capital market

deadline extension will help a lot of personnel in the capital market business whose approval will expire by the end of this year as well as other affected parties, from business operators to training

suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a

Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the

  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, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing approval of auditors in the capital market with the respect to the roles of the Auditing

Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and