Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
securities market investment consultant of the same company for trading securities on behalf of client.Following a customer complaint against {B} and {A}, as well as a report from RHB OSK Securities (Thailand
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
trading values and volumes to be inconsistency with normal market condition to mislead and lure the general public into such trading and were therefore in violation of Section 243(2) of the Securities and
Bangkok, 7 April 2025 – Following the decision of the Stock Exchange of Thailand (SET) and the Thailand Futures Exchange (TFEX) to implement temporary measures for overseeing the trading situations
enhance the speed and efficiency of the trading process of corporate bond. Currently two companies have issued and offered corporate bonds for sale using the blockchain system of ThaiBMA, namely (1