important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
The SEC conducted public hearings on the regulations on the application for approval, the granting of approval for the association, and disclosure of information thereof during April – May 2023
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
) 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
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, 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
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
As part of its review of the definition of major shareholder applicable to derivatives business operators required to obtain approval, the SEC aims to ensure that the definition appropriately