schemes from at least 10 asset management companies. SEC Secretary-General Vorapol Socatiyanurak said that the SEC will allow the companies intending to broker the investment units to apply for the Type D
speakers from the US SEC; Mr. Daniel M. Gray, Senior Special Counsel for Market Structure in the Division of Trading and Markets, and Mr. Thomas Mester, Senior Specialized Examiner in the Office of
Bangkok, December 13 , 2012 ? The SEC suspended Theera Chaowanapreechasilp, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and
Bangkok, December 13 , 2012 - The SEC suspended {A}, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and also reprimanded {B
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
Bangkok, February 6, 2015 ? The SEC has supported Phoenixict Pte Ltd. and the communication and technology-based alliances from both the public and private sectors in organizing the first
decisions for them. From October 2012 to March 2013, he made trading decisions on behalf of the clients on a continuous basis with more than 300 million baht in trading value. Moreover, he traded for the
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report