lands to securities. In this regard, in January 2024, the SEC Board and the Capital Market Supervisory Board (CMSB) approved in principle the issuance of regulations to facilitate the use of an investment
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the