therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
Bangkok, 18 January 2019 ? The SEC has imposed civil sanction on three offenders for manipulating the share price of Bangkok Airways Public Company Limited (BA), namely (1) Mr. Prasert Prasarttong
issuers including disclosure of assessment factors; (3) the investment limit is capped at no more than 100,000 baht for each retail investor, equity and debentures combined, up from no more than 50,000
Bangkok, December 3, 2008 ? The SEC is in the process of drafting the rules governing approval of restricted derivatives investor contacts for gold futures, in support of the earlier licensing of
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Chairman Chanin Vongkusolkit and TLCA members, to discuss strategies for the development and promotion of supervision over listed companies. The discussions covered measures to prevent adverse behaviors
benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market