No. Tor Lor Thor. 8/2557, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560. SEC therefore ordered the approval of all three investment consultants on

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core

Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's

and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment

Bangkok, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows:   (a)  suspending the approval of {A} as securities investment consultant for two months

shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the

the core business of trading services.   SEC Assistant Secretary-General Paralee Sukonthaman said: “Nowadays, growing information on investment products in the capital market makes most investors