falsely said to be listed on the Stock Exchange of Thailand even though it has already been listed. The clients transferred money to his account for trading such shares, but he did not do so for the clients
Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
2023. Essentially, the regulations as amended by the Capital Market Supervisory Board are as follows: (1) Clarifying the characteristics of an investment company, referring to a company that engages
new directors on 8 March 2019, causing the IFEC Board to fully comprise 8 directors,and the resolution appointing Chairman and Chief Executive Officer by the Board of Directors Meeting No. 1/2562
Cyber Resilience Principles for Board of Directors
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together