capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
placement, the Capital Market Supervisory Board approved the revision of private placement rules to require the listed companies? board of directors be responsible for consideration on reasonableness of
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
this year. The Capital Market Supervisory Board approved the revision of regulations concerning cross-border offerings of debt securities and CIS in line with ASEAN Capital Markets Forum (ACMF)?s
Police?s investigation and litigation at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify whether solicitors have been approved by the Minister of
suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two
SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two