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(2) and deemed to be the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7315

SEC suspends investment consultant for failing to give complete information or advice to investor

prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7316

SEC public warning of solicitation for investment in digital assets

qualifications and smart contracts by SEC-approved ICO portals; (3) There might not be enough necessary information disclosed for investors.(4) These is no business operators under SEC supervision allowed

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8301

SEC launches ICO rules

worth investors, venture capital businesses and private equity funds at an unlimited amount. Investment is capped at no more than 300,000 baht per ICO project for each individual investor, or no more

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8286

SEC revokes approval of investor consultant for dishonest acts

the Notification of the Capital Market Supervisory Board No. Tor Lor Thor 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6359

Criminal Fining Committee fines former JAS director for performing duties dishonestly

. ____________________________________ * Pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated 23 April

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6558

SEC sanctions four capital market personnel for incomplete trading order records

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5315

SEC suspends two investment consultants

. *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5827

SEC suspends a capital investment consultant

months, effective from March 17, 2015.*Clauses 20(1) and (2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5836

SEC revokes approval of a capital market investment consultant

effective from May 30, 2015. * Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5947