consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
Exchange of Thailand, the SEC?s further investigation has revealed that Witoon and the three other persons in the same group purchased GLOBAL shares and GLOBAL-W warrants and gained benefits from such
Dr. Chaiwat Wibulswasdi, Chairman, Capital Market Development Fund, revealed that the CMDF board has approved in principle by supporting the Thai Capital Market’s digital infrastructure under the
financial statements of NMG. The evidence in this case has revealed that the NMG’s financial statements for the year 2015 to 2017 showed manipulated income and unrealized advertising income, which were in
simultaneously, aiming to enhance competitiveness of Thai capital market. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved regulations on foreign
, Thammasat University revealed that the study emphasized the importance of credit watch placement information given by credit rating agency prior to announcement of credit rating adjustment on listed companies
making investment. Assessment results will be available on the SEC website approximately by the third quarter of this year.? Pipat Yodprutikarn, Thaipat Institute Director revealed that ?Thaipat Institute
Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of