Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHATPONG WATANAJIRAJ Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname น.ส. ชยุดา เจียรวนนท์ Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. SIRIKHUN TRIWITTAYAKHUN Approval Type of approval Effective date Expiry date No records
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHANAKUNT CHAIWATTANAWASU Approval Type of approval Effective date Expiry date No records