Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients

violation specified in the Notification of the Capital Market Supervisory Board.*  The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned

financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing

or public offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social

offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social enterprise

circumstance, many audit firms in the capital market tend to postpone nomination of persons to apply for approval as auditor in the capital market, which may cause the number of auditors in the capital market

: (1)  Eligible investors are institutional investors and/or high net worth investors only;  (2)  Eligible investment vehicles are mutual fund or trust fund (to be established by the end of 2021); (3

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management