Bangkok, May 23, 2012 ? As seen in the news stating that the Brooker Group PLC ("BROOK") will seek shareholders? approval for acquiring ordinary shares of McMillen Advantage Capital Limited ("MAC
Bangkok, April 17, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the Capital Market Supervisory Board has approved revision on regulations to allow retail investor to make overseas
attractive investment destination from all over the world. As Thai capital market regulator, the SEC has always put this issue amongst its priorities and given full support.?Thailand Investment Conference on
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
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
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