Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
The Securities and Exchange Commission (SEC) held a meeting with the Department of Climate Change and Environment (DCCE), the Ministry of Natural Resources and Environment (MNRE), the Thailand Greenhouse Gas Management Organization (TGO), the Fiscal Policy Office (FPO), and the Stock Exchange of Thailand (SET) to discuss guidelines for regulating carbon credit trading under the draft Climate Change Act B.E. .... , which aims to drive Thailand towards effective goals in addressing climate c...
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
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
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