sort out the training and renewal requirements during the social distancing period. In this regard, fund managers, derivatives fund managers, investment analysts, investment consultants and investment
suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing approval of auditors in the capital market with the respect to the roles of the Auditing
PFS International Consultants Limited Website: www.pfsinternational.co.th : Unlicensed securities and derivatives business (Disclosure Date : 04/02/2015)
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C
notifications have been revised, containing the key amendments as follows: (1) Allowing the foreign issuer to file an application for approval of offer for sale of bonds denominated in Thai baht (baht bonds