} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
Notification of the Capital Market Supervisory Board No. TorChor. 21/2551 Re: Rules on Connected Transactions and the Notification of the Board of Governors of the Stock Exchange of Thailand Re: Disclosure of
…(date)… does not mean the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office certifies the completeness or the correctness of the information in the offering documents
must also states that “the approval for establishment and management of the ….. (fund name)….. on …(date)… does not mean the Securities and Exchange Commission, the Capital Market Supervisory Board or
1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
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, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such