Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
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
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
At the meeting on 10 March 2020, the cabinet approved a raft of measures, including allowing investors to receive an additional tax privilege for purchasing investment units in the Super Savings Fund (SSF) which has the policy on investing in listed securities on the local exchanges, called “SSF listed securities”, under the following conditions:(1) Not less than 65% of net asset values are invested in listed securities on the Stock Exchange of Thailand and the Market for Alternative Inv...
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital