Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
in the capital market*, the SEC, therefore suspended the approval as capital market investment consultant of {A} for 9 months. Having considered that she had already been suspended by her employer for
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
(Myanmar) Company Limited (GEP-Myanmar) thoroughly before exercising the voting right at the extraordinary shareholders? meeting on June 13, 2016. By seeking the VTE shareholders? approval, the company
market*, the SEC therefore set the period for acceptance of his re-application for approval as capital market personnel for 15 days. Having considered that {A} had already been suspended by his employer
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
, 2014.Note: Clauses 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
, they can seek advice on IPO and listing requirements from financial advisors, auditors, the SET and the SEC. Participants obtained the SEC?s approval for going public within 2014 will be awarded a plate