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
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
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, 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
sale of newly issued securities to the public (IPO) whereby issuing companies and listed companies would not be allowed to operate business as an investment company to prevent the misuse of the IPO
THE ROYAL BANK OF SCOTLAND N.V. DIRECT CAPITAL COMPANY LIMITED TONTAN CORPORATION INVESTMENT ADVISORY SECURITIES , COMPANY LIMITED TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC COMPANY LIMITED TRINITY
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
The Capital Market Supervisory Board passed a resolution approving the amendments to the regulations to clarify the nature of business operation of securities issuing companies or listed companies