the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
-General revealed that the Capital Market Supervisory Board approved to revise investment rules for mutual fund, private fund for retail investors and provident fund to support the funds? investment in
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
Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold
– and to welcome AIGCC as a co-organiser – to foster knowledge sharing and capacity building on responsible investment themes for institutional investors and capital market participants in Thailand
-collateral NPL portfolio at the purchase price of 40.16 million baht, (2) issue capital shares via private placement (PP) to shareholders and management of such portfolio seller, and (3) accept other
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market