organizer in advance, informing them of these concerns before the event date.On 7 September 2024, the date of the event, the SEC conducted an on-site inspection and found that some exhibitors were engaging in
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
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investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
care for the best interest of investors. The suspended persons are (1) {A} and (2) {B}. According to a report from KBANK and the SEC's further inspection, {A} was found to have signed on a unit
investment management companies while achieving the appropriate right balance between regulatory flexibility and investor protection. At the same time, investors are offered money market funds as an