According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
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
The 31st ASEAN Capital Markets Forum (ACMF) Meeting today in Phuket discussed the progress of ACMF initiatives on sustainability, connectivity and resilience. The initiative on developing a Roadmap
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
transformation promises sustainable growth for investors and the broader economy.**************************https://www.sec.or.th/TH/Documents/Seminars/seminar-240667-01-en.pdf
symposium. More than 300 participants from both public and private sectors in the capital market as well as academic sector attended this event which held at World Ballroom, Centara Grand at Central World
The proposed amendments are grouped into six key areas as follows: (1) Digital Capital Market Promotion: updating legal frameworks to fully support electronic processes in the capital market
Bangkok, September 26, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Jadesada Hungsapruek and will not consider his application for approval