Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

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

Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and

Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1

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

Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven

Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions  to the rules concerning definition of investors and investment of mutual funds in line with international standards

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension