The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, gave an educational lecture on "Strategies for Securities Investments: A Guide for Beginners" for
market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
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
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
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
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
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