Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1

) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated

:               (1)  In the case of Miss Surasa Mungthaworn, the SEC revoked the approval as investment consultant and will not accept her future application for approval as personnel in the capital market business

asset size must share significant proportion to holding company and 2) holding company?s investment capital in other businesses (non-core business) must be less than 25% of holding company?s total asset

therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6

first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak