therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6

through the ORAP system, which has recently been updated. The extended submission period will take effect, starting from the 2024 renewal cycle onwards.   Generally, the SEC reviews each application

auditors in the capital market in audit firms, starting from a minimum of four auditors from 1 March 2026 before increasing to a minimum of six auditors, starting from 1 March 2029 onwards. The proposed

characteristics**. The SEC has set the period of the ban for one year, starting from 5 September 2018, during which Mr. Thanawat cannot serve as a director or executive of a securities company or a listed company

Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February

judgement of the Civil Court by ordering the defendant, Mr. Suphanan Rittiphairoj, to pay the total amount of 31,926,822.72 baht plus the annual interest rate of 7.5 percent – starting from the case filing

fine of 27,000 Baht and a further fine of 100 Baht each day for 12,963 days starting from November 15, 2019 until January 10, 2023 totally 1,296,300 Baht. The amount of total fine for the accused is

sentenced the accused to pay a fine of 19,000 Baht and a further fine of 100 Baht each day for 7,817 days starting from November 17, 2021 until January 10, 2023 totally 781,700 Baht. The amount of total fine

capital market auditor for a period of two years, starting from 8 October 2019. The SEC has also advised KPMG to conduct a root cause analysis on Patamavan’s performance deficiencies and lay out a

had expired earlier, the SEC will consider an application for approval as capital market personnel after the period of nine months, starting from April 11, 2013.