securities or derivatives, investors are advised to examine beforehand whether the solicitor is a legally approved or registered entity to prevent potential damage. The SEC list of licensed entities is

have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft

with the relevant criteria may apply for approval of SEC. In addition, SEC will urge awareness and encourage the investors to use the wealth advice service through the approved business operators and

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