first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
capital market businesses. More investment channels to support convenient and continuous investment in mutual funds will back the government policy to promote saving and investment discipline and
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
Bangkok, December 4, 2013 ? The SEC is seeking public comment on revision of the rules to allow licensed brokerage firms to expand the service on overseas investment in a wider range of financial
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and