market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has
share financial and investment knowledge on the topic, “Thailand’s Financial Protection in the Digital Era,” featuring financial education talks by Ms. Sarica Apiwatthakakul, SEC Director of the
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, gave an educational lecture on "Strategies for Securities Investments: A Guide for Beginners" for
), the 5 Don’ts of Investment, and debt relief measures. The event took place during 21-23 August 2024.(21 August 2024) Ms. Sarica Apiwatthakakul, SEC Director of the Capital Market Education Department