consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2695-9935 or email: hiri@sec.or.th.       The

Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following

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, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the