liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited
Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing approval of auditors in the capital market with the respect to the roles of the Auditing