Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek

consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market

Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and 3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected.  According to a report from Thailand Securities Institute (TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on...

such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client.  They cannot make decisions on behalf of clients

Bangkok, October 6, 2014 ? The SEC revoked approval of  2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset

Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C

PFS International Consultants Limited Website: www.pfsinternational.co.th : Unlicensed securities and derivatives business (Disclosure Date : 04/02/2015)

.  In addition, SEC requests that asset management companies notify SEC of the postponement or temporary suspension of contribution of employers and/or employees, and when the contribution is resumed. If

Earlier, the Civil Sanction Committee decided to impose civil penalties against the 40 offenders for manipulating AJD shares* but they either failed to acknowledge or refused to comply with the civil sanction imposed by the Civil Sanction Committee. It was then considered that the 40 offenders refused to extinguish the case with the SEC. Therefore, the SEC requested the public prosecutor to bring the case against all offenders for the Civil Court to impose the highest civil sanction...