Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the

derivatives business operators, which provide services such as securities brokerage, securities dealing, investment advisory, underwriting, mutual fund management, private fund management and derivatives

Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g

SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information

SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading

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

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

, reporting and disclosure of any actions where conflicts of interest may arise and proprietary securities trading.  The consultation paper for draft rules is available on www.sec.or.th. Stakeholders and