approved securities investment consultant for a year and 2 months. Having considered that Acting Sub-lieutenant Saroj had already been suspended by his employer for 3 months, the suspension imposed by the
Supervisory Board recently approved regulations to allow offer for sale of commercial banks? Basel III tier 2 instruments to retail investors. Mutual funds, excluding money market funds, will also be permitted
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
investment solicitation, the solicator needs to obtain a proper securities business license. The SEC lists of licensed and approved persons are available at www.sec.or.th. For inquiries or reports of leads or
have prohibited characteristics of capital market personnel pursuant to relevant regulations as long as he is subject to the complaint and the subsequent procedure, which caused his approved status to
to Thai capital market as stated in the Master Plan for Capital Development approved by the Cabinet and the SEC?s strategic plan for 2010-2012.The SEC will push forwards the following aspects, in
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after monthly SEC Board?s Meeting No.5/2011 that the SEC Board at its meeting No. 5/2011 has approved, in principle
regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and
, Investment Banking Club and participating approved auditors gear ?Pride of the Province III?, aiming to promote knowledge on capital market and fund raising to businesses nationwide. The project also supports