: Rules on Personnel in the Capital Market Business, as amended. (Executives are subject to penalties twice as higher than those imposed on investment consultants).

to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her

performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as

guidelines issued thereunder. This allows SEC to supervise the operation of ICO portal related to IT systems more efficiently and in accordance with the oversight standards imposed on other types of

to make repo and reverse repo transactions in compliance with the same regulations imposed on securities companies. The consultation paper is available at https://www.sec.or.th/EN/Pages

Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also

unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant

with a large offering size, and benefit fund mobilization in the capital market.?The proposed rules would be imposed on cornerstone participation in an IPO with a minimum offering size of 5 billion baht

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete

investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed