In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to
crimes. In this regard, the SEC, as the capital market regulator, stands ready to support and connect inter‑agency efforts to prevent and deter technology‑related crimes in Thailand.Mrs. Pornanong
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
The Capital Market Supervisory Board’s meeting on 3 March 2020 approved in principle the inclusion of more asset classes eligible for use in the repo / reverse repo agreements between securities
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the