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...
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts. In addition, the draft regulation is expected to further clarify the scope of supervision of digita...
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
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
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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
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Miss ATIKAN NIMMANTERDWONG Approval Type of approval Effective date Expiry date No records to
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