Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
participating market operators), investors will be eligible to receive a promotional gift valued at 500 baht. Participating business operators are 22 investment management companies, 14 securities companies, 2
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