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

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of