manager. This gives involved parties, including numerous capital market business personnel, sufficient time to make necessary preparations within this year.  “SEC is confident that personnel in capital

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

Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of

. This time, SEC establishes the regulations concerning related businesses for applicants requesting operating licenses. Such businesses include standards for operating businesses and work systems

SEC Secretary-General Ruenvadee Suwanmongkol said: “This great opportunity for the SEC to host the IOSCO Annual Meeting for the first time in the history of the SEC since our establishment in 1992

, such as, the first-time stock sale for the public or the Initial Public Offering (IPO), the issuing and sale of various types debentures and bonds, the method of fund-raising via crowdfunding, as well

debenture holders’ representative at any time during the term of such securities, and (4) adds provision to support the appointment of bondholders’ representative for no guarantee bond issued by government

The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

to the SET referral and the SEC further investigation, it has been found that during 25 February - 17 March 2015, Surachai, Somsak and Orthai, who were clients of Phichayada (at the time working for a