, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
redemption order was executed in breach of the terms and conditions of the tax benefits. As a result, the customer had to return the tax deduction money to the Revenue Department and pay for the capital gain
the period of ten years. Owing to the fact that Nakul?s approval as fund manager was expired and he has not been in the capital market business recently, instead of imposing revocation order, the SEC
investment but the bank did not. Thus, the client lodged a complaint and asked the bank to compensate the whole investment amount. It was found that {A} signed the structured note subscription order, risk
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
In accordance with SEC Strategic Plan 2020-2022 by which, one of the goals of SEC is to ensure the competitiveness of business operators in the capital market. At the Capital Market Supervisory
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to