SEC Secretary-General Ruenvadee Suwanmongkol stated on 17 September 2019 that SEC had a meeting with ASCO and the senior executives of every securities company and derivative contract business

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

@sec.or.th or witchulada@sec.or.th. The public hearing ends on 26 September 2018. _______________________ Note: The ten ASEAN countries are, namely, Brunei, Cambodia, Indonesia, Laos, Malaysia

September 5, 2023 with the aim at boosting the expansion of mutual fund investor base through the increase of investment knowledge and promoting mutual funds as an attractive savings option at the "Mutual

the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(2) and

Bangkok, September 9, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} and {B}, former executives of United Securities Plc., {C} {D} {E

are welcome to submit comments through the website, or facsimile at 0-2033-9660 or email: nattasasi@sec.or.th or rangrong@sec.or.th. The public hearing ends on 19 September 2017.  

(www.sec.or.th) under License Check banner. In case of suspicious unlicensed activities, please report the SEC at 1207 for further investigation," Vasant added.Previously, on September 2013, {A} was also named in

in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In

the of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in Capital Market Industry dated September 15, 2010. In this regard