Generations and Demographics for Investment in the Capital Market” and “Tax Incentives and Long-term Investment of the Thai People”. They have also jointly participated in an open discussion under the topic

Industry Consultative Panels process, outlines key strategies and mechanisms to strengthen capital markets as a driving force for sustainable development. It provides clear and concrete direction for

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already

had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

demonstrating inappropriateness for acting as capital market business personnel.  Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution

investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market