, effective from 9 November 2018;             (3)  In the case of {C}, she is prohibited from functioning as a branch manager responsible for capital market business, and the SEC also imposed a suspension

Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co

the period of ten years. Owing to the fact that Nakul?s approval as fund manager was expired and he has not been in the capital market business recently, instead of imposing revocation order, the SEC

willing to support such study. In this respect, the Department of Business Development informed that the proposal for amendment of the Accounting Professions Act B.E. 2547 is being considered while SEC

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดกิจกรรม “Fund Manager รุ่นใหม่ ใส่ใจสิ่งแวดล้อม รุ่นที่ 1” เพื่อส่งเสริมบทบาทผู้จัดการกองทุนรุ่นใหม่ในการเป็นผู้นำทางความคิด (thought

'Fund Manager รุ่นใหม่ ใส่ใจสิ่งแวดล้อม รุ่นที่ 1' ได้ที่ https://www.youtube.com/watch?v=gRHdhvKthkY นางวรัชญา ศรีมาจันทร์ ​รองเลขาธิการ ก.ล.ต. กล่าวเปิดกิจกรรมนางสาวธารินี ศิริชยาพร Head of Business

violation specified in the Notification of the Capital Market Supervisory Board.*  The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned

persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the

to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The

regulatory oversight in response to future changes. The lectures were delivered as part of the Prep for Fund Manager: Professional Preparation Program for Financial Advisors, Batch 5, organized by KH Academy