Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended him from duty as the approved securities investment consultant for 4 months. Having considered that

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

-collateral NPL portfolio at the purchase price of 40.16 million baht, (2) issue capital shares via private placement (PP) to shareholders and management of such portfolio seller, and (3) accept other

Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from

investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market

Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core

Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions  to the rules concerning definition of investors and investment of mutual funds in line with international standards

Bangkok, December 13 , 2012 ? The SEC suspended Theera Chaowanapreechasilp, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and

Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving

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