The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
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
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
services” added Rapee.Interested parties in applying for approval of wealth advisor are welcome to contact SEC for advice and recommendations via telephone on 0-2263-6050 and 0-2033-4620, or email
for digital assets can apply for official licenses at SEC from now on. The standardized work systems, good risk management and well-prepared personnel will be emphasized.SEC Secretary-General Rapee
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
funds to accommodate these funds with the following rules, for example:- Unitholders must invest in provident funds only;- The number of unitholders which is at least 35 must be waived;- They must not
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, 6 February 2018 ? The SEC has announced the SEC Scholarship Program for the public. The scholarship recipient can pursue a master's degree overseas in any capital market-related field and