private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested

Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while

services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the capital market

or provide services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the

the same day. Saowarat’s misconduct according to (1) is deemed failure to perform duties or provide services with loyalty by misappropriating client assets, and according to (2) is deemed acting

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

(mobile number and email address) with her own information to register for the bank’s internet banking services under the client’s name, and withdrew money from the client’s banking account for her

characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities