Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as
enables employees to choose their own investment policies. To ensure the objective of provident fund for retirement savings, the SEC is revising employee?s choice regulations to provide the funds and its
Bangkok, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
The SEC meeting 1/2540 dated January 9, 1997 resolved to approve criteria on the establishment and management of property fund offering investment units for sale to the public. The Office completed
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri