Bangkok, January 24, 2008? The SEC today revoked the approval for an investor contact functioning as a marketing officer by the name of Sugunya Changchua for committing dishonest acts, defrauding
Bangkok, June 24, 2009 ? The SEC is inviting public comments and opinions on the principles of its proposed rules concerning auto approval of mutual funds schemes.To shorten approval time and
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
The SEC approved 3 draft rules and regulations of the Stock Exchange of Thailand (SET) concerning (1) listing of ordinary shares or preferred shares as listed securities, (2) listing of securities in ?Market for Alternative Investment?, and (3) prohibiting companies? executives or shareholders and related persons from selling shares and securities within the specified period of time.
Bangkok, October 15, 2009 ? The SEC is conducting a public consultation on the revision of rules on approval of securities business personnel to streamline and expedite the approval process in line
suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a
Bangkok, November 26, 2008 ? Investor contacts whose approval is expiring at the end of 2008 are advised to submit the renewal application to the SEC by 1 December 2008 to ensure continuity of