Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
benefits related to any financial product sellers. Such advice must be made online via website or electronics channels with a feature for general people’s participation for comments.Investment advisors
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
for sale from 1 April 2020.SEC Secretary-General Ruenvadee Suwanmongkol said that “the SEC held a meeting with asset management companies and the AIMC to explain details and answer relevant questions
Bangkok, August 23, 2011 - The SEC has directed Yarnapund Plc. ("YNP") to rectify its financial statements for Q3/2010 and for the year 2010. The Company is required to submit to the SEC and publicly
Bangkok, October 27, 2011 ? The SEC has directed Tongkah Harbour Plc. ("THL") to rectify its financial statements for Q3/2010 and for the year 2010. THL is required to record compensation for
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
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
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital