Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Taking into account that {A} had already been suspended by her employer; the
*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the
management have been issued and revised with more flexibility and in line with international standards supportive to the capital market development. New distribution channels such as fund supermart and more
; digital assets in Z Wallet had been transferred to the destination digital wallets overseas even before Zipmex Thailand notified changes to the terms and conditions of its services, which did not align with
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
reduction applies if the companies have never been subjected to any settlements of criminal offence or legal complaint filed by the SEC for failure to prepare and submit financial statements or reports on