suspension imposed by the SEC is deemed to have been served. _________________ Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
, it is hoped that Thailand Taxonomy will be one of the foundations for supporting the economy on the transition journey towards the sustainable environment in a smooth and timely manner. Bank of
, Legal Management and General Administration of the Thai Airways International Public Company Limited, said that the Personal Data Protection Act, which is soon to be enforced, mandates duties to the
emphasized that "Sustainable development in the areas of the environment and human rights is an issue that the global community continuously emphasizes, and it has become a primary concern for every country
, the SEC is pushing for the ongoing development of the Thai capital market through focus shifts in alignment with the country's transition towards digital economy, green economy, and fair economy that