Board*. The SEC has therefore ordered a 10-year revocation of approval as a securities investment consultant. However, since the approval period has already ended, he is banned from re-entering as capital
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
permissible rate of 15 percent. The majority of PVDs invest as much as 85 percent of the total investment money in debt securities and bank deposits. Such low-risk, low-return pattern results in slow fund
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, 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
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
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for