Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

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

, eventually. From 2014 to early this year, the following 15 participants were approved by the SEC to launch IPOs : Thai Solar Energy Plc. (Kanchanaburi); K.C. Metalsheet Plc. (Khon Kaen); Smart Concrete Plc

Determination regarding Types of Transactions in Capital Market Allowed to Use Form of Trust (No. 3)

Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)

Reporting Result of Sale of Securities to the Public (No. 13)

Re: Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Debt Securities

Repeal of Notification of the Securities and Exchange Commission Relating to Preparation of Securities Company’s Account

Reporting of the Result of the Sale of Securities to the Public (No. 11)