The Securities and Exchange Commission (SEC), represented by Mr. Paiboon Dumrongwaree (left), Assistant Secretary-General, extended the SEC congratulations on the Legal Execution Department (LED)’s

Bangkok, 9 October 2017 ? The SEC and the Legal Execution Department (LED) have signed two memoranda of agreement (MOA) for mutual cooperation and information sharing, at the SEC Building today.The

wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as

Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction

, 2012.  In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two

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, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

On December 28, 2018, SEC together with the Legal Execution Department and the Department of Legal Execution, Office of the Attorney General, signed a Memorandum of Understanding for the benefit of

execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed

Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of