Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

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

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and

cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital

investment advice without any reference from analysis report or certification of Maybank Kim Eng Securities (Thailand) Plc. Certain statements contained in the said could make the client believe that he will

{C} for two months from their duties as the approved securities and capital investment consultants respectively. In case of {C} who had already been suspended by OSK Securities for one month, the

 Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC

Following the tips from various sources to SEC, there have been solicitations for investment in securities and/or product that may be liable to be digital asset (called by many names such as coin