: Group 1: Chanyarat, as a director of Suan Orapin (Thailand) Co., Ltd., a lessee of a property of UOB8TF with the right to offer a bidding price for the property in competition with other bidders, knew
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and
SEC Secretary-General Ruenvadee Suwanmongkol said that she has signed the notification on Detail of the Mutual Fund Scheme for Establishing the Super Savings Fund (SSF) which has the policy
Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to
market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
According to investors’ tips and SEC’s investigation, there are public solicitations for investment in investment units via online media channels such as company website, Facebook and Line
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to