and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment

violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax

Bangkok, March 3, 2011- SEC Secretary-General Thirachai Phuvanatnaranubala emphasized that sustainable capital market development requires strong investor base. Nonetheless, most of the Thais are not

Bangkok, February 3, 2014 ? The SEC in cooperation with alliance from both public and private sectors launched ?Pride of the Provinces III? to gear up provincial businesses? fund raising and capital

forum on significant and immediate issues, cooperation and development of capital markets in Asia-Pacific region, on November 28-30, 2012 at Siam Kempinski Hotel in Bangkok. On this occasion, panel

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

is strictly for reference. 5 Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and

is strictly for reference. Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and

. Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and Section 97 of the Securities and