Bangkok, August 13, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing fund investment in Greater Mekong Subregion (GMS) to wider variety of investment choices. The

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions  to the rules concerning definition of investors and investment of mutual funds in line with international standards

Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn

Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then