Thai Knowledge for Capital Market - Governance Sign In การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำ
Facebook Page ชื่อ Stock Market of Thailand : Unlicensed securities and derivatives business (Disclosure Date : 23/11/2023)
SEC is in the process of preparing to open up a booth at the National Children’s Day 2020 event at the Rajvithi Home for Girls on Saturday, 11 January 2020, facilitated by Ministry of Social
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
an offense liable to revocation of approval as securities investment consultant. However, the approval as securities investment consultant for {A} has already expired since 31 December 2019. SEC has
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited