. The SEC has therefore imposed a two-month suspension on investment consultant Pongsak, effective from 6 January 2020.   ________________________

 Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The

September 30, 2014.Earlier, the SEC notified STHAI to rectify its 2012 financial statements due to the limitation on scope of audit imposed by the company management in various matters including quantities

will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found.   The issuers covered under the proposed revision are non-listed

services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds

her employer, however, the suspension imposed by the SEC is deemed to have been served.  

Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on {A} for using inside information to purchase {X1} Company shares for his own benefit.With

already been suspended by her employer, however, the suspension imposed by the SEC is deemed to have been served.

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform