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
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
allowing to invest not less than 65% of net asset value in listed securities on the Stock Exchange of Thailand and the notification on waiving fees for the application and registration of such funds for
จัดโดยสถาบันเพื่อการยุติธรรมแห่งประเทศไทย (องค์การมหาชน) หรือ Thailand Institute of Justice (TIJ) โดยเลขาธิการ ก.ล.ต. ได้กล่าวถึงบทบาทของ ก.ล.ต. ในการส่งเสริมและพัฒนาบทบาทของตลาดทุน ซึ่งเชื่อมโยงกับเป้า
investment funds in accordance with the rules of the Bank of Thailand and other applicable laws, among others.SEC Secretary-General Ruenvadee Suwanmongkol said, “SEC has a policy to support and allow investors
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of