SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
) to retail investors in Thailand, expected to become effective by Q2/2014.The ASEAN CIS allowed to be offered to retail investors in Thailand must be approved by capital market regulators and have been
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
GUARDIAN CAPITAL ASSET MANAGEMENT COMPANY LIMITED KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED KIATNAKIN PHATRA BANK PUBLIC COMPANY LIMITED KIATNAKIN PHATRA SECURITIES PUBLIC COMPANY LIMITED GRANT
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
of next year (2018) due to the purchaser’s request for its funding and capital increasing approval process from relevant official bodies. 3) LPH shall take parts of land survey and fix the right legal