the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
market knowledge. The third edition offers privileges not less than its predecessors but the application must be filed within May 31, 2014. SEC Secretary-General Vorapol Socatiyanurak said the SEC in
IPO approval from the SEC. Vorapol Socatiyanurak, SEC Secretary-General said that for Thailand to strive forward and compete internationally, development must be driven nationwide. The SEC thus
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
standards, ethics, and rules of the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market as well as cooperate with the Office of the
the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market as well as cooperate with the Office of the Securities and Exchange
screening eligible companies and overseeing their information disclosure. The SEC does not grant an approval for each crowdfunding project or supervise pre-offering disclosure. To be eligible for a funding
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for
Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6