Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
Bangkok, February 16, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against nine alleged offenders for falsifying documents and accounts and corporate
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February
lessen regulatory burden and further relief for businesses. At present, the reliefs include:(1) Branches of securities companies affected by flood and unable to provide services are allowed to temporarily