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
the capital market, as follows: (1) Open Data: To support collection and disclosure of capital market information in the form of open data, for example, information on investment, business operators
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
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
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
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
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