provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
as well as listed companies, supporting sustainable development of Thai capital market. Vorapol Socatiyanurak, SEC Secretary-General, said the revamped ?CG Thailand? website serves as the information
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market
Bangkok, April 8, 2015 ? The Capital Market Supervisory Board approved regulations on payment of bounty to the informer as well as payment of gratuity to the arrestor in cases where fine is imposed