Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
issues the following regulations: Clause 1 In this Notification: The terms, “collective investment schemes,” “units of collective investment schemes,” and “CIS operator” shall have the same meanings as
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
Economic Crime Suppression Division (ECSD) on the ground of performing duties dishonestly when he failed to disclose IFEC default on its bills of exchange. In addition, the SEC has instructed IFEC directors
applicant is a juristic person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its
person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may
and Exchange Act B.E. 2535 (1992) and Clause 5(1) in conjunction with Clause 7(1)(3) and (5), Clause 12(1) and (8), Clause 14 and Clause 25 of the Notification of the Capital Market Supervisory Board No
Act B.E. 2535 (1992) and Clause 5(1) in conjunction with Clause 7(1)(3) and (5), Clause 12(1) and (8), Clause 14 and Clause 25 of the Notification of the Capital Market Supervisory Board No. Tor Thor