follows:   (1) To categorize licenses by business types instead of product types, grouping businesses with similar risk profiles together. This approach would give businesses more flexibility in applying

SEC has remitted both amounts to the Ministry of Finance as public revenue. In the event that any offenders refuse to give consent to the civil sanctions, the SEC has the authority to file a lawsuit

30 months.Civil sanctions imposed by the CSC will take effect when the offenders sign a letter of consent, agreeing to comply with the civil sanctions. In the event that any offenders refuse to give

is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=812.Stakeholders and interested parties are welcome to give comments and suggestions via the website or email: corporat@sec.or.th

at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=627. Stakeholders and interested parties are welcome to give comments and suggestions via SEC website: www.sec.or.th/hearing, or email: nuchanat

affected client.  Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the

instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds

Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.   ** An investment consultant for complex instruments type 1 is allowed to give advice to

continues. SEC has therefore filed a criminal complaint against Artit with ECSD. Any person suffering damage from his acts should call ECSD at 0-2237-1199 to give information for pursuing further

. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=641. Stakeholders and interested parties are welcome to give comments and suggestions via the website or