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
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the
Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft capital market personnel rules aiming at compiling and standardizing the rules and guidelines concerning all types of capital
Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance
The Securities and Exchange Commission (SEC) organized an annual academic seminar on the topic, “the Thai Capital Market Knowledge,” for public prosecutors and SEC officers. This event aimed to enhance knowledge and professional capacity, facilitate experience-sharing and constructive feedback, and improve legal enforcement and judicial processes in the Thai capital market. Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, delivered the opening remarks and recapped the SEC’s regulatory...