, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
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
operators and related persons as follows: (1) Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) and Matthew Christensen for operating unlicensed
Bangkok, May 30, 2014 ? The SEC is seeking public comment on revision of rules governing advertisement of all capital market products for more clarity and practicality. The revisions also address
Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading
Bangkok, February 17, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that ?From Monday 17 February, 2014, investors and general public can simply dial 1207 to call the SEC for information
eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities
., Arya Payungvivattanakul, a managing director of Globalview Consulting Co.,Ltd., Ruangrit Pansiri and Aroonvadee Kittikasemsak for jointly operating unlicensed securities businesses. Following suspicious
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing