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

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

Bangkok, 20 September 2017 ? The SEC is seeking public comments on the principles and the amended rules governing listed companies? disclosure of good corporate governance compliance via Form 56-1

and to arrange a special audit on the sources, existence and status of such debts which consequently caused EARTH to apply for business rehabilitation. The results of the special audit must be disclosed

Bangkok, June 16, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Somchai Kurujitkosol and will not consider his application for approval for

Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in

Bangkok, February 3, 2011 - The SEC is seeking public comments to relax regulations on minimum IPO period and registration of assets in case of general mutual fund to facilitate more flexibility for

Bangkok, 25 October 2016 ? The SEC is seeking public comments on the draft rules concerning transfer of retirement mutual funds (RMF) and long-term equity funds (LTF) in case of fund dissolution to

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients