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
and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended
Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. *** An investment consultant for complex
(SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3