, the SEC suspended {A} for two months and {C} for one month from duty as an approved securities investment consultant. For {B} with his previous demerit record, the SEC suspended him from duty as an

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

, 2012.  In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the

to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product

roles in driving and fostering listed companies to operate responsibly in relation to ESG, and exchanged views on good governance practices, which are an essential foundation for creating sustainable

นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาหัวข้อ “Creating an Enabling Environment through Structural Reform and Sustainable Financing

. SEC Deputy Secretary-General Sirivipa Supantanet said: “Merger and acquisition (M&A) is a key mechanism for strengthening competitiveness and creating opportunities for business sectors. In this

/2022 “SEC imposes civil sanctions on four offenders for creating artificial trading volume of three digital tokens on the Satang Corporation Limited’s exchange”, released on 29 December 2022, can be