Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
Bangkok, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
Knowledge Refresher Criteria for investment analysts. The goal is to enhance the knowledge refresher process to better align with their roles and responsibilities. The Capital Market Supervisory Board has
regulations to improve fund management efficiency and offer a wider range of investment choices to members. The revision also includes provisions for a central registrar to facilitate employers and employees
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and