asset size must share significant proportion to holding company and 2) holding company?s investment capital in other businesses (non-core business) must be less than 25% of holding company?s total asset
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
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
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in
Personnel in the Capital Market Business (No. 7), dated 30 August 2017. ** Investment Consultant for Complex Instruments Type 2 is allowed to give investment advice on non-complex capital market products
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
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
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked her approval as an investment consultant for Complex Products Type 2** for a period of 10 years. However, as Miss
: (1) In the case of Miss Surasa Mungthaworn, the SEC revoked the approval as investment consultant and will not accept her future application for approval as personnel in the capital market business
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well