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
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
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, 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
permissible for accredited investors (AI) in preparation for the Capital Account Liberalization Plan of the Bank of Thailand (BOT) to allow retail investors to make overseas investment directly. Additional
BUSINESS ADVISORY COMPANY LIMITED KPM SECURITIES COMPANY LIMITED CREDIT SUISSE SECURITIES (THAILAND) COMPANY LIMITED CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK CREVELING & CREVELING FINANCIAL PLANNING
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
provided that there is an investment limit for each member; (4) Promotion of investment diversification to be in line with international standards and market development. This includes determination of
Future Investment Initiative Institute invited SEC Secretary-General to exchange views and opinions on digital asset developments with business leaders in the field, namely Sam Blatteis, Co-Founder